So reports AdvisorOne. The violations were described recently by recently by law firm Sutherland, which studied regulators’ complaints occurring from July through December of 2012.
Read the full article from AdvisorOne here.
Estimated reading time: 0 minutes, 21 seconds
Finra, SEC Clamp Down on Compliance Chiefs
FINRA and the SEC took disciplinary actions last year against chief compliance officers at broker-dealers and investors advisors for a wide range of issues, including anti-money laundering deficiencies, false representations to staff, failure to supervise, and causing primary violations.
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