DSA president, Alison Jimenez, was quoted on foreign corruption in a moneylaundering.com article by Valentina […]
FINRA
16 posts
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.
American Banker published an op-ed by DSA president, Alison Jimenez, titled “AI use carries bias […]
A story by Neil Weinberg in Bloomberg relied on Dynamic Securities Analytics (‘DSA’) analysis of […]
Finra released a video interview on 1/10/18 with Mike Rufino, Executive Vice President and Head of […]
Dynamic Securities Analytics, Inc. (“DSA”) reviewed the SEC’s and FINRA‘s 2017 exam priorities letters to […]
FINRA and the SEC recently released their respective 2016 exam & regulatory priorities. DSA reviewed […]