It is critical for broker dealer supervisory personnel to stay mindful of fingerprint records for non-registered associated persons.
The Securities and Exchange Commission (“SEC”) recently made amendments to the existing “Advertising Rule” and the “Cash Solicitation Rule” under the “Advisers Act.”
There’s probably not an individual, company, or sector that 2020 left untouched, and anti-money laundering (AML) compliance is no exception.
Regulatory compliance isn’t exactly the easiest area to navigate — and getting it wrong can be both expensive and damaging to a firm’s reputation.
