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Recent SEC Settlement Underscores Focus on Financial Institutions Facing Cyber Intrusions

USA - May 20 2021 The SEC last week announced a settlement with a Colorado-based registered broker-dealer for allegedly failing to file Suspicious Activity Reports…

Charles D. Riely, E.K. McWilliams, Sarah F. Weiss.

SEC Issues Alert Encouraging Broker-Dealers to Strengthen Anti-Money Laundering Compliance

USA - April 7 2021 On March 29, 2021, the SEC's Division of Examinations issued a risk alert reminding broker-dealers of their anti-money laundering (AML) obligations…

Charles D. Riely, E.K. McWilliams, Sarah F. Weiss.