Daily Archives: October 28, 2010


The Cost of Not Conducting an Independent AML Audit

If you are an AMLCO or CCO who must justify the cost of your firm’s annual independent AML audit, the PDF  Download FINRA 2010 AML Audit fines should help you.  The cost of not conducting an independent anti-money laundering audit is steep. The PDF contains excerpts compiled from 2010  FINRA Monthly Disciplinary Reports.  Fines were imposed for either more »