⚖SEC.gov | SEC Charges Brokerage Firms and AML Officer With Anti-Money Laundering Violations

By AML FCPA, AML

⚖SEC.gov | SEC Charges Brokerage Firms and AML Officer With Anti-Money Laundering Violations

Washington D.C., May 16, 2018 —

The Securities and Exchange Commission today announced settled charges against broker-dealers Chardan Capital Markets LLC and Industrial and Commercial Bank of China Financial Services LLC (ICBCFS) for failing to report suspicious sales of billions of penny stock shares.

https://www.sec.gov/news/press-release/2018-87

U.S. regulators fine CCO and brokerage firms for AML offenses – The FCPA Blog – The FCPA Blog

http://www.fcpablog.com/blog/2018/5/16/us-regulators-fine-cco-and-brokerage-firms-for-aml-offenses.html

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