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By: Beverly Fetcko
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AML Recordkeeping: Best Practices
Books and records relating to a firm’s Anti-Money Laundering Program may be reviewed by FINRA, the SEC, and/or state examiners during regulatory examinations. SEC and Bank Secrecy Act rules outline recordkeeping and record retention requirements for broker-dealers. Generally, AML related records must be retained for a period of at least five years. |
By: Nathan Jodat |
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“FRANK”LY speaking, FINRA provision removed from regulatory reform bill
The House recently passed an extensive financial regulation bill that would significantly increase federal oversight of financial companies and the markets. Unlike the previous push for deregulation and curbs on private litigation, this legislation expands the government’s role in controlling markets for new securities and limiting the types of systemic risks that set off the financial meltdown in 2008. |
By: Jeff Rubin |
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Making your list and checking it twice…
Although I am a seasoned New Englander, I was taken aback by last Wednesday’s snow storm. It was a race to find a proper shovel and other snow scraping apparatuses. However, as a result of the storm, I was reminded of quickly the holiday season is approaching. As usual I find myself totally unprepared for the upcoming week’s festivities. Subsequently, I began my mental list making of to do’s… |
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