Cheryl Haas

Cheryl Haas

McGuireWoods LLP

Contact
View Bio
RSS

Latest Posts › Anti-Money Laundering

Share:

SEC 2020 National Exam Program Examination Priorities

On January 7, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2020 examination priorities. OCIE is prioritizing practices, products, and services that it...more

1/9/2020  /  Anti-Money Laundering , Financial Industry Regulatory Authority (FINRA) , OCIE , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC)

Suspicious Activity Monitoring and Reporting – FINRA Issues Notice Consolidating Governmental and Regulatory “Red Flag” Guidance

Enforcement actions sanctioning firms and, in a few cases, individuals for failing to investigate and report suspicious activity have been significantly on the rise. SEC, FinCEN, FINRA, and others have been active in this...more

5/10/2019  /  Anti-Money Laundering , Financial Industry Regulatory Authority (FINRA) , FinCEN , Securities and Exchange Commission (SEC) , Suspicious Activity Reports (SARs)
2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide