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Browse: Home / 2014 / February / 07 / FINRA suspends compliance officer, levies highest-ever company AML fine  — The FCPA Blog

FINRA suspends compliance officer, levies highest-ever company AML fine  — The FCPA Blog

By Securities Docket on February 7, 2014, 7:34 am

The U.S. Financial Industry Regulatory Authority suspended a former AML compliance officer for Brown Brothers Harriman and assessed a record $8 million fine against the firm for its anti-money laundering failures.

via FINRA suspends compliance officer, levies highest-ever company AML fine  — The FCPA Blog

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Posted in Industry, Top | Tagged AML, FINRA

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