The Financial Industry Regulatory Authority, known to broker-dealers as FINRA, has published a guidance to member firms regarding suspicious activity monitoring and reporting obligations that exist pursuant to the FINRA rule on Anti-Money Laundering Compliance (AML). Readers who are broker dealers, attorneys who represent them, and anyone interested in accessing this material may find it here.
The Laundry Man by Kenneth Rijock ( Penguin/Random House UK)
Friday, May 10, 2019
FINRA PUBLISHES REGULATORY NOTICE OF SUSPICIOUS ACTIVITY MONITORING AND REPORTING OBLIGATIONS
The Financial Industry Regulatory Authority, known to broker-dealers as FINRA, has published a guidance to member firms regarding suspicious activity monitoring and reporting obligations that exist pursuant to the FINRA rule on Anti-Money Laundering Compliance (AML). Readers who are broker dealers, attorneys who represent them, and anyone interested in accessing this material may find it here.
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