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Broker-dealers look to enforcement actions to understand Finra’s AML priorities. BDs may end up scouring their customer records to see if they have similar documentary issues … and that could draw funds and attention away from priorities identified in the National Strategy for Combatting Terrorist and Other Illicit Financing.
The Dodd-Frank Wall Street Reform and Consumer Protection Act mandated that advisers to venture capital funds and/or to small private fund (less than $150 […]