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 […]...