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Keywords: Suspicious Activity Reports (SARs)
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Journal Articles
SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
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Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (3): 41–43.
Published: 04 September 2017
...) Broker-dealers Anti-money laundering (AML) Registered representatives Suspicious Activity Reports (SARs) On January 25, 2017, the Securities and Exchange Commission (“SEC”) announced administrative proceedings against New York-based brokerage firm Windsor Street Capital (“the Firm”) and its...
