Brian Cromwell

Brian Cromwell

Parker Poe Adams & Bernstein LLP

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Practical Tips for Broker-Dealers After SEC Flags Compliance Issue

Last month, the U.S. Securities and Exchange Commission (SEC) took a refreshed look at how broker-dealers are complying with anti-money laundering rules. What auditors discerned — as detailed in their July 31 risk alert — is...more

8/22/2023  /  Anti-Money Laundering , Broker-Dealer , Compliance , Customer Due Diligence (CDD) , Financial Adviser , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Policies and Procedures , Regulatory Requirements , Securities and Exchange Commission (SEC)
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