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Latest Securities and Exchange Commission Stories

2013-08-06 23:29:23

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...


Word of the Day
barratry
  • The offense of persistently instigating lawsuits, typically groundless ones.
  • An unlawful breach of duty on the part of a ship's master or crew resulting in injury to the ship's owner.
  • Sale or purchase of positions in church or state.
This word ultimately comes from the Old French word 'barater,' to cheat.
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