Anti-Money Laundering

Compliance officers should take note of the FinCEN lawsuit filed last month against Thomas Haider, the former CCO at MoneyGram. The regulator seeks a court ...

Each registered open-end company is subject to the requirements of 31 U.S.C. 5318(l) and the implementing regulation at 31 CFR 103.131, which requires a customer ...

Wedbush Securities, Inc.’s incentive comp structure was “rife with potential conflicts of interest” that created a disincentive for compliance personnel to effectively monitor for trading ...