Raymond James fined $17 Million for AML & Prior AMLCO Fined and Suspended
Written by Don Lee FINRA announced today that it has fined Raymond James & Associates $17 Million for failures related to their […]
Mark EdwardsMay 18, 2016
FINRA warns BDs on AML & the Adequacy of Surveillance Systems
Written By: Don Lee FINRA’s Executive Vice President of enforcement Brad Bennett highlighted two trends that FINRA is seeing in enforcement during […]
Mark EdwardsApril 8, 2016
Big Data, Broker Dealers and Regulators
Written by Don Lee In the recent Technology Tools for Today conference hosted by Investment News on November 2nd in Florida, Big […]
Mark EdwardsDecember 21, 2015
Do you have a Risk Based Program?
Written by Don Lee The first question regulators often ask during an initial examination interview is ‘do you have a risk based […]
Mark EdwardsNovember 19, 2015