Category Archives: Anti Money Laundering

Anti Money LaunderingLa Meer
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SEC Division of Examination issues Risk Alert on AML for Broker-dealers

OBSERVATIONS FROM ANTI-MONEY LAUNDERING COMPLIANCE EXAMINATIONS OF BROKER-DEALERS Issued on July 31, 2023 https://www.sec.gov/files/risk-alert-aml-compliance-examinations-bd-073123.pdf Before discussing those specific observations, the Division would like to highlight two other, more general staff observations about registrants’ AML programs. First, Some registrants did not appear to devote sufficient resources, including staffing, to AML compliance given the volume and risks […]...

Published On - August 16, 2023

Lameerinc Anti Money Laundering, La MeerTags:
Anti Money LaunderingCompliance ManagementIT Risk ManagementRegulatory FinesTrade Monitoring
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Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions

All information Quoted from the article https://us.eversheds-sutherland.com/NewsCommentary/Press-Releases/249220/Annual-Eversheds-Sutherland-Analysis-of-FINRA-Disciplinary-Actions-Shows-Huge-Surge-in-Financial-Sanctions?utm_source=vuture&utm_medium=email&utm_campaign=vuture-emails March 8, 2022 Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2021. By reviewing FINRA’s monthly disciplinary reports, press releases and online database, Eversheds Sutherland (US) Partners Brian L. Rubin and Adam C. Pollet found that in 2021 the amount of fines […]...

Published On - March 8, 2022

admin Anti Money Laundering, Compliance Management, IT Risk Management, Regulatory Fines, Trade Monitoring