Compliance Lessons from Recent FINRA Enforcement Actions

Apr 11, 2016 2:55pm ‐ Apr 11, 2016 4:10pm


Description

• Developing risk-based approach to AML enhance oversight of penny stocks and other high-risk securities products
• Reviewing personal liability penalties for applicable lessons on management accountability protocols
• Formalizing processes for the filing of SARS to serve institutional oversight goals and meet regulatory expectations

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