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MIT2 - Securities: Analyzing Recent FINRA Actions for Lessons on Compliance and Risk Management


‐ Sep 26, 2016 11:45am

Assessing penalties tied to microcap shares to determine best practicesfor enhancing AML models Examining private placement fines to identify red flags that may indicatekickbacks and other crimes Applying guidance from FINRA’s firm culture reviews to integrate theagency’s priorities into oversight models