Tag: AML

Chairman Clayton continued to build the senior staff this week, appointing Acting Enforcement Division Director Stephanie Avakian and Sullivan and Cromwell partner Steven Peikin as Co-Directors of the Division of Enforcement. The new Division co-directors identified cyber crime as the …

This Week In Securities Litigation (Week ending June 9, 2017) Read More »

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The Commission filed its second action this year centered on the failure of a broker-dealer to file SARs. The first was In the Matter of Windsor Street Capital, LP, Adm. Proc. File No. 3-17813 (Jan. 25, 2017). That action is …

SEC Charges BD For Repeated AML Violations Read More »

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