The Financial Industry Regulatory Authority, known to broker-dealers as FINRA, has published a guidance to member firms regarding suspicious activity monitoring and reporting obligations that exist pursuant to the FINRA rule on Anti-Money Laundering Compliance (AML). Readers who are broker dealers, attorneys who represent them, and anyone interested in accessing this material may find it here.
This article was originally and first published from : Source RegTech Post simply gathers news around the web around the topic related to regulatory technology to inform and guide decision makers and industry leaders who intend to use or build regulatory technology to transform businesses. All content belongs to their respective authors and no copyright violation is intended. Please email firstname.lastname@example.org or use the contact form for any issues or complaints.