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.
Securities Enforcement
24 posts
Dynamic Securities Analytics, Inc. in partnership with Jordan Maglich of www.ponzitracker.com prepared interactive analytics of […]
Dynamic Securities Analytics, Inc. in partnership with Jordan Maglich of PonziTracker.com published interactive analytics of […]
Dynamic Securities Analytics, Inc. (“DSA”) reviewed the SEC’s and FINRA‘s 2017 exam priorities letters to […]
Once again, Dynamic Securities Analytics, Inc. partnered with PonziTracker to create interactive analytics of Ponzi […]
It’s Suspicious to Not be Suspicious SEC Enforcement Chief Andrew Ceresney made headlines when he […]
On April 22nd, 2015 FinCEN released In Focus: SAR Stats (April 2015). Dynamic Securities Analytics, […]
Jordan Maglich of Ponzitracker.com wrote an in depth article that analyzed Ponzi schemes revealed and sentenced […]