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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.
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Much attention has been given to Attorney General Sessions rescission of the Cole Memo which offered guidance to DOJ attorneys and law […]
Just like May flowers follow April showers, Ponzi scheme implosions will follow a market crash.