Are you effectively monitoring your trade desk?
Written by Don Lee Today Morgan Stanley agreed to pay $8.8 Million to settle charges for prearranged trading or “parking” that favored […]
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.
7 Simple tips for Cyber-Security for Broker Dealers and RIAs
Written by Don Lee Cyber-Security is a hot topic with the SEC and FINRA. Regulators have announced their examinations will include Cyber-Security and some […]
AML Compliance Automation and SARs filing … risks of manual reviews
Written by Don Lee Securities and Exchange Commission Enforcement Chief Andrew Ceresney said to the broker-dealers community at the Securities Industry and […]