Money laundering continues to be a key focus of regulators. Recently, for example, FINCEN Director Jennifer Shasky Calvery discussed money laundering through real estate transactions. Earlier this year the SEC brought an action against a broker-dealer based on money laundering …
Broker, Compliance Officer Fined For AML Failures Read More »
Transition Management is a service offered by securities professionals to pension funds and other investment managers who are changing fund managers, investment managers or making similar transitions and need to make significant changes in their portfolio of securities. One of …
SEC Charges State Street Employee For Fraudulent Fees Read More »