Speaking at an anti-money laundering (AML) conference in February, SEC Director of Enforcement John Ceresney warned attendees that broker-dealers were under-filing suspicious activity reports (SARs). He said that...more
6/22/2015
/ Anti-Money Laundering ,
Broker-Dealer ,
BSA/AML ,
Check the Box Rules ,
Compliance ,
Financial Markets ,
Investment Management ,
SAR ,
Securities ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
Your company’s False Claim Act exposure may stem from actions in areas you may not consider. While the 1863 Act was originally designed for use against government contractors, the statute applies in all federal contexts....more