Broker-Dealers Archives - Dynamic Securities Analytics, Inc.

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.

Anti-Money Laundering Broker-Dealers DSA in the News FINRA Securities Enforcement

Enforcement Case Suggests Finra’s Misaligned AML Priorities

Just like May flowers follow April showers, Ponzi scheme implosions will follow a market crash.

Anti-Money Laundering Broker-Dealers Ponzi Schemes SEC Securities Fraud Securities Litigation Suspicious Activity Reports

Market Crash and Ponzi Schemes

Finra arbitration filings are expected to increase by 35% if the market drops by 10% .

Broker-Dealers Data Analytics FINRA Securities Arbitration Securities Litigation

Market Crashes and Finra Arbitration Filings- A Predictive Model

DSA analyzed SAR data and BSA regulator enforcement data to compare the level of regulator scrutiny.

Anti-Money Laundering Broker-Dealers Data Analytics FinCEN IRS Money Laundering Enforcement SARs SEC

Which Industry is Really in Peril of being Under-Regulated in …

2,301,163 SARs were filed in 2019 which is an increase of 6% from 2018 levels. Depository Institutions filed 48% of all SARs, MSBs accounted for 37% and Securities/Futures filed 9%.