A broker-dealer settled FINRA charges for failing to (i) implement reasonably designed AML policies, (ii) identify and respond to potentially manipulative trading and (iii) establish sufficient market access controls and procedures.
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A broker-dealer settled FINRA charges for failing to maintain written AML policies reasonably designed to detect suspicious transactions.
A broker-dealer settled FINRA charges for failing to institute financial risk management controls when providing market access to affiliated organizations.
A firm settled FINRA charges for failure to apply market access controls and procedures to orders routed by one of its risk management systems.
In its annual Examination and Risk Monitoring Program Report, FINRA covered twenty-one different topics related to a firm's core compliance responsibilities. FINRA added five new topics since last year's report.