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Dynamic Securities Analytics, Inc. president, Alison Jimenez, will speak at the February 9th, 2016 meeting of the Tampa chapter of the Association […]
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.
FINRA and the SEC recently released their respective 2016 exam & regulatory priorities. DSA reviewed the priorities for topics that directly or […]
Dynamic Securities Analytics, Inc.’s president, Alison Jimenez, wrapped up 2018 with two very different presentations. In October, Ms. Jimenez participated as a […]