Tag: compliance

Well crafted compliance is a significant asset for any enterprise, helping create a positive culture throughout the firm. It is also the first line of defense, safeguarding the firm from liability or at least mitigating it by, for example, identifying …

Lack of Compliance Equals SEC Sanctions For Deutsche Bank Read More »

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The filing of SARs – suspicious activity reports – appears to be an increasing area of interest for the Commission. Typically the cases brought have focused on aggravated fact patterns such as the transfer in of millions of penny stock …

SEC Fines Broker for Inconsistent Application of SAR Rule Read More »

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