Gregory Marshall

Gregory Marshall

Bradley Arant Boult Cummings LLP

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Avoiding personal liability amidst heightened AML enforcement

In February 2014, the Financial Industry Regulation Authority (FINRA), the self-regulatory body for the U.S. securities industry, suspended a former global anti-money laundering compliance officer at Brown Brothers Harriman &...more

3/5/2015  /  Anti-Money Laundering , Bank Secrecy Act , Chief Compliance Officers , Corporate Culture , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Personal Liability
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