The U.S. Department of Justice (DOJ) recently updated its Evaluation of Corporate Compliance Programs (ECCP), which prosecutors consider when investigating, charging, and negotiating plea or other agreements with...more
11/8/2024
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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