Prologue Journal

SEC Tells Some Wall Street Brokers to Clean Up Their Anti-Money-Laundering Controls

• prologu5
• 08/02/202308/02/2023

Wall Street Journal

The regulator issued a risk alert citing flaws in certain broker-dealers’ efforts to combat the flow of dirty money.

https://www.wsj.com/articles/sec-tells-some-wall-street-brokers-to-clean-up-their-anti-money-laundering-controls-945615c4