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FINRA Fines BTG Pactual Unit Over Lax AML Compliance

By Emilie Ruscoe ( May 16, 2025, 11:06 PM EDT) -- A U.S. brokerage unit of Brazilian investment bank BTG Pactual will pay $400,000 to the Financial Industry Regulatory Authority to settle claims that, among other things, its written policies didn't explain how it would monitor wire transfer requests to stay in compliance with anti-money laundering provisions....

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