Home Investment Advisers IA Speeches SEC Commissioners Peirce and Uyeda disagree with rep’s AML case

SEC Commissioners Peirce and Uyeda disagree with rep’s AML case

"By levying punishment on a registered representative for failing to red-flag a transaction and consequently failing to make an internal report, we are encouraging registered representatives to view all flags as various shades of red that require internal reporting"

Carl Ayers

September 18 2023

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