Enforcement

Compliance Enforcement

Money laundering deadline

Money Laundering Deadline Nears April 24, 2002 compliance date approaches. By John M. Baker, Esq. As I write this, we are one month from April 24, 2002, the date on which financial institutions are required to establish anti-money laundering programs, including, at a minimum– (A) the development of internal policies, […]

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SEC Subpoena, FINRA OTR – What do I do?

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SEC
The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)

” >SEC Serves a Subpoena, or Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you are subpoenaed by the SEC, or even just receive a letter or telephone call from the SEC or FINRA that call or subpoena is a serious matter, […]