Raymond James fined $17 Million for AML & Prior AMLCO Fined and Suspended
FINRA announced today that it has fined Raymond James & Associates $17 Million for failures related to their
Read more →Cost of Complaince
FINRA’s 2016 Examination Priorities and Technology
FINRA has published its Annual Examination Priorities letter for 2016. This is an annual letter for all FINRA
Read more →Are you effectively monitoring your trade desk?
Today Morgan Stanley agreed to pay $8.8 Million to settle charges for prearranged trading or “parking” that favored
Read more →Big Data, Broker Dealers and Regulators
In the recent Technology Tools for Today conference hosted by Investment News on November 2nd in Florida, Big
Read more →KYC Red Flag Automation
Fidelity Investments was fined $500,000 by FINRA and ordered to pay $530,000 in restitution to clients for not
Read more →How much does your firm spend on Compliance … is it enough?
Is your firm spending enough on compliance? That has been one of the main questions over the last
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