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Expert Analysis

SEC Fine Highlights AML Reporting As Enforcement Priority

By Daniel Hawke, Joshua Martin, Kevin Toomey ( May 28, 2021, 1:40 PM EDT) -- On May 12, the U.S. Securities and Exchange Commission announced[1] that GWFS Equities Inc., a registered broker-dealer, had settled charges that it violated the federal securities laws governing a broker-dealer's obligations under the Securities Exchange Act to file suspicious activity reports, or SARs, for certain suspicious transactions....

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