Broker-Dealer Agrees to $1.5 Million Settlement for Failing to File Suspicious Activity Reports Related to Cybercrimes

Publication Date27 May 2021
SubjectSettlement,SEC,Compliance,Investment Adviser,Bank Secrecy Act,Broker-Dealer,Cyber Crimes,Remedial Actions,Supervision,Failure-to-File,Securities Litigation,Regulatory Oversight,Suspicious Activity Reports (SARs),Securities Exchange Act of 1934
AuthorPeter Baldwin,Megan Farooqui
Law FirmFaegre Drinker Biddle & Reath LLP

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