DSA analyzed the SAR-SF filing data reported by FinCEN to determine whether firms more often […] Anti-Money Laundering Broker-Dealers FinCEN Regulatory Analytics SARs Suspicious Activity Reports Should AML Departments be renamed Anti-Predicate Crime?
DSA analyzed how cases were closed through the FINRA dispute resolution process in 2013. Customer […] Broker-Dealers FINRA Regulatory Analytics Securities Arbitration Securities Litigation Analysis of 2013 FINRA Dispute Resolution Statistics
DSA’s analysis of Florida Ponzi schemes in the post-Madoff era was cited in the Sarasota […] Anti-Money Laundering Broker-Dealers DSA in the News Florida Ponzi Schemes Regulatory Analytics Securities Enforcement DSA’s Analytics cited in Herald Tribune Article
DSA prepared interactive analytics of over 500 Ponzi schemes in the post-Madoff era. The schemes […] Anti-Money Laundering Broker-Dealers Ponzi Schemes Regulatory Analytics Securities Enforcement Securities Violations Interactive Ponzi Scheme Analytics
The Tampa Bay and Jacksonville Business Journals featured DSA’s analytics of Florida Ponzi Schemes. Jane […] Anti-Money Laundering Broker-Dealers Florida Ponzi Schemes Regulatory Analytics Securities Enforcement Securities Violations Business Journal Features DSA’s Ponzi Analytics
Learn About Tableau Anti-Money Laundering Broker-Dealers Florida Ponzi Schemes Regulatory Analytics Securities Enforcement Interactive Florida Ponzi Scheme Graphics
The Dodd-Frank Wall Street Reform and Consumer Protection Act mandated that advisers to venture capital funds and/or […] Broker-Dealers Investment Advisors Securities Enforcement Securities Regulation Securities Violations Disciplinary History in Focus: Exempt Reporting Advisers
DSA analyzed the potential impact of the recent Florida Supreme Court ruling that Florida’s statute […] Calculations FINRA Florida Securities Arbitration Securities Litigation Potential Impact of Florida Supreme Court Ruling
Legal/statutory interest rates vary widely from state to state. Legal rates range from a high […] Florida Interactive Analytics Securities Arbitration Securities Litigation Uncategorized Interactive Map of Legal Interest Rates
If you are an AMLCO or CCO who must justify the cost of your firm’s […] AML Audit Anti-Money Laundering Broker-Dealers Money Laundering Enforcement Securities Enforcement The Cost of Not Conducting an Independent AML Audit