Tag: SARS

See something, say something, is a popular slogan encouraging people to act if they observe something inappropriate. For regulated entities it is more than a popular notion. Those entities have a duty to “say something” if they “see something.” They …

Interactive Brokers Fined Over $38 Million for AML Violations Read More »

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A look forward, a look back: “Because that is where the money is” Willie Sutton famously answered when asked why he robbed banks. During a 40 year career he reputedly took in over $2 million – a considerable sum in …

This Week In Securities Litigation (Week starting July 29, 2019) Read More »

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