SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
Year of publication: |
2017
|
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Authors: | Bondi, Bradley J. ; Petillo-Décossard, Kimberly C. ; Schuster, John J. ; Ortiz, Sara |
Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 18.2017, 3, p. 41-43
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Subject: | Securities enforcement | US Securities and Exchange Commission (SEC) | Broker-dealers | Anti-money laundering (AML) | Registered representatives | Suspicious Activity Reports (SARs) | USA | United States | Finanzmarktaufsicht | Financial supervision | Geldwäsche | Money laundering | Kapitalmarktrecht | Financial markets law |
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