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
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FINRA warns BDs on AML & the Adequacy of Surveillance Systems
FINRA’s Executive Vice President of enforcement Brad Bennett highlighted two trends that FINRA is seeing in enforcement during
Read more →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 →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
Read more →Do you have a Risk Based Program?
The first question regulators often ask during an initial examination interview is ‘do you have a risk based
Read more →Compliance Officers and Personal Liability Report and What Compliance Officers Can Do.
Are you a compliance officer feeling threatened with increased personal risk, you’re not alone. Thomson Reuters recently published the
Read more →Managing Conflicts of Interest across BD and RIAs
Many BD firms are expanding their business in the shrinking BD market to the Investment Advisory space. The
Read more →Are Debit Card transactions flying under your firm’s AML radar?
Debit card transactions should be included in AML programs. This added data increases the burden of review resulting in the need for automated compliance software such as FinWebTech’s Catalyst Compliance Solution.
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