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SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme

Bondi, Bradley J.; Petillo-Décossard, Kimberly C.; … - In: The journal of investment compliance 18 (2017) 3, pp. 41-43

Persistent link: https://www.econbiz.de/10011804784

SEC approves FINRA's rules to protect seniors from financial exploitation

Kutner, Matthew J. - In: The journal of investment compliance 18 (2017) 3, pp. 64-66

Persistent link: https://www.econbiz.de/10011804837

SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme

Bondi, Bradley J.; Gilman, Charles A.; … - In: Journal of Investment Compliance 18 (2017) 3, pp. 41-43

Purpose To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to enforce anti-money laundering (AML) regulations and reporting. Design/methodology/approach This article explores the...

Persistent link: https://www.econbiz.de/10014893777

SEC approves FINRA’s rules to protect seniors from financial exploitation

Kutner, Matthew J. - In: Journal of Investment Compliance 18 (2017) 3, pp. 64-66

Purpose To inform readers of new FINRA Rule 2165 and amended FINRA Rule 4512, which are aimed at protecting seniors from financial exploitation. Design/methodology/approach This article discusses the scope of the FINRA Rules and amendments, including provisions for temporary holds on...

Persistent link: https://www.econbiz.de/10014893787