Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Anti-Money Laundering: Exam Focus (19)
Your search for Anti-Money Laundering: Exam Focus returned 19 results.
Sorted by Date

12/20/2018 | Content area: Broker-Dealer
Failures in the anti-money laundering programs of UBS Financial and UBS Securities have resulted in triple jeopardy for the firms and a total of $15 m...
12/20/2018 | Content area: Broker-Dealer
For the second year running, FINRA has flagged issues its examiners are finding with broker-dealers’ anti-money laundering programs. The SRO’s 2018 Re...
3/15/2018 | Content area: Broker-Dealer
The amount of FINRA fines, sanctions, cases, and industry bars were all down in 2017 when compared with the prior year, according to the recent releas...
12/14/2017 | Content area: Broker-Dealer
FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the...
6/08/2017 | Content area: Broker-Dealer
Filing thousands of Suspicious Activity Reports per year doesn’t necessarily mean your Bank Secrecy Act compliance program hits all of its marks. Alpi...
2/23/2017 | Content area: Broker-Dealer
At the beginning of the year, FINRA signaled in its 2017 examination priorities letter that it has enhanced its risk-based surveillance and examinatio...
2/23/2017 | Content area: Broker-Dealer
There is more “work to do” when it comes to broker-dealers’ anti-money laundering compliance programs, according to a senior FINRA official. In an add...
2/02/2017 | Content area: Broker-Dealer
In January, the SEC shouted from the rooftops that it remains laser-focused on money laundering and brokerage firms’ AML programs. The Commission’s 20...
1/12/2017 | Content area: Broker-Dealer
A “listening tour” commenced last August by then new FINRA president/CEO Robert Cook will bear fruit this year. Based on feedback that broker-dealers ...
6/30/2016 | Content area: Broker-Dealer
Regulators are raising the bar on AML compliance. Take Raymond James & Associates. Together with an affiliate, it was fined $17 million and saw a form...
4/14/2016 | Content area: Broker-Dealer
FINRA has detected that the nature of AML schemes are changing. “Consideration of your risks as it pertains to AML programs remains a concern for FINR...
2/10/2016 | Content area: Broker-Dealer
Significant holes in the framework of a Miami-based brokerage firm’s customer identification program have led to a $1 million penalty for anti-money l...
9/17/2015 | Content area: CPO/CTA
NFA's exam found deficiencies in several facets of Amp's operations including its anti-money laundering (AML) procedures, its Risk Management Policy a...
7/23/2015 | Content area: Broker-Dealer
It’s not often that the SEC and FINRA share the podium at an industry event with senior officials offering up insights about effective compliance prac...
7/01/2015 | Content area: Broker-Dealer
When senior SEC officials call out the critical importance of broker-dealers’ anti-money laundering programs it’s time to pay attention. This time the...
9/03/2014 | Content area: CPO/CTA
1/13/2014 | Content area: Broker-Dealer
You'll find new focus areas - e.g., general solicitation, IPOs and crowdfunding - sprinkled among perennial items in the latest version of FINRA's ann...
9/20/2010 | Content area: Broker-Dealer
There's no formal requirement that investment advisers maintain an anti-money laundering program but if you have one, you can bet examiners are going ...
5/03/2010 | Content area: Investment Adviser
Keep a log of the marketing materials your firm sends out, including presentations. List who's giving the presentation, the audience, the date, whethe...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US