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

2022 Report on FINRA’s Examination and Risk Monitoring Program

FINRA issued this risk alert on Feb 9th 2022. All information here is Quoted from the FINRA’s document. Please refer to FINRA’s document in the below link for complete information https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs. For […]...

Published On - February 10, 2022

admin Anti Money Laundering, Branch and Rep Management, Compliance Management, IT Risk Management, News, Reg BI, Trade Monitoring, Vendor Risk Management

Empowering your AML monitoring with end-to-end technology matters

AML monitoring within the organization has become quite complex from the current COVID situation and possibilities of money laundering and changes in regulations and reporting requirements. The current pandemic has increased the possibility of increased money laundering. At the same time the staff’s ability to comprehensively monitor AML has been put to test. This has […]...

Published On - March 4, 2021

admin Anti Money Laundering

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