FinCEN, the SEC and FINRA have penalized Canaccord Genuity in what FinCEN called the largest Bank Secrecy Act penalty ever imposed on a broker-dealer. The findings read like a checklist of under-resourced AML programs.
Read more →FINRA announced today that it has fined Raymond James & Associates $17 Million for failures related to their
Read more →FINRA’s Executive Vice President of enforcement Brad Bennett highlighted two trends that FINRA is seeing in enforcement during
Read more →FINRA has published its Annual Examination Priorities letter for 2016. This is an annual letter for all FINRA
Read more →In December of 2014, FINCEN fined MoneyGram’s then Chief Compliance Officer Thomas Haider $1 Million as a civil
Read more →Are you a compliance officer feeling threatened with increased personal risk, you’re not alone. Thomson Reuters recently published the
Read more →