4 AML Insights Broker-Dealers Should Carry Into 2019

By Mirella deRose, Richard Margolies, Russ Ryan, Jeffrey Telep and Michael Watling (January 10, 2019, 11:33 AM EST) -- While many of us were winding down 2018 focused on the December holidays, the U.S. Department of Justice, the U.S. Securities and Exchange Commission, the Financial Industry Regulatory Authority, and Financial Crimes Enforcement Network were busy delivering a flurry of messages to the broker-dealer industry about anti-money laundering compliance. In this article, we highlight several noteworthy developments announced during the final weeks of 2018....

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