Tag: compliance

See something, say something, is a popular slogan encouraging people to act if they observe something inappropriate. For regulated entities it is more than a popular notion. Those entities have a duty to “say something” if they “see something.” They …

Interactive Brokers Fined Over $38 Million for AML Violations Read More »

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The country continues to slowly open in an effort to reinstate a semblance of normal life and business. As that process continues the Commission has held a series of conferences and updated various rules. This week there will be a …

This Week In Securities Litigation (Week of June 1, 2020) Read More »

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