Kenneth Rijock

Kenneth Rijock

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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