Latest Securities and Exchange Commission Stories
S.D. Daniels & Co., LLC ("SDDCO-LLC") lends guidance to broker-dealers on the mandatory testing of their anti-money laundering programs. Overview includes the timing and requirements of AML testing, the minimum standards of AML compliance, the scope and process of the AML audit, and the contents of the final report. New York, NY 10022 (PRWEB) August 06, 2013 Money laundering—the act of using a legitimate financial system to mask ill-gotten gains—makes dirty money appear...
- The offense of persistently instigating lawsuits, typically groundless ones.
- Sale or purchase of positions in church or state.