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Bridging the Week, Featuring Articles on Fines for Anti-Money Laundering Program Deficiencies and FINRA's Take on Cybersecurity Best Practices

Newsletter | January 7, 2019

To read this week's Bridging the Week, click here.

  • Offer and Sale of Digital Assets and Cybersecurity Among the Focus of SEC OCIE 2019 Examination Priorities
  • Related Broker-Dealers Fined US $15 Million by the SEC, FINRA and FinCEN for Alleged AML Program Deficiencies; Unrelated BD Fined US $5.5 Million for Purportedly Selling IPOs to Industry Insiders
  • FINRA Publicizes Effective Practices at Members to Mitigate Cybersecurity Risks
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