Broker Dealer Compliance: Preparing for 2022

In October 2021, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 21-36 to encourage financial firms - such as broker-dealers - to begin contemplating how they will incorporate the first government-wide priorities for anti-money laundering and countering the financing of terrorism policy. This white paper highlights the key considerations broker dealers should know as they prepare for 2022.

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