‘Enforcement 40’ for 2020
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By Securities Docket on February 24, 2016, 10:44 am
A recent decision from a federal district court and a proposed regulation from the New York State Department of Financial Services provide even more reason for compliance officers at financial institutions to install robust anti-money laundering compliance programs. Under the district court decision and proposed regulation, chief compliance officers would be personally subject to both […]
Posted in Industry, Top | Tagged Compliance
By Securities Docket on February 24, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for February 23, 2016.