FINRA fines Aegis Investments for deficient AML program testing
Aegis Investments has agreed to a fine as a part of a settlement with FINRA. Aegis Investments failed to conduct annual independent testing of the firm’s anti-money laundering (AML) compliance program between 2011 and 2020, in violation of FINRA Rules 3310(c) and 2010. FINRA Rule 3310 requires member firms like Aegis Investments to develop and…
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