US Edition2021069276401 Sonenshine & Company LLC CRD 104357 AWC lp.pdf
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2021069276401 Sonenshine & Company LLC CRD 104357 AWC lp.pdf
From July 2017 to the present, Sonenshine violated FINRA Rules 3310(b) and 2010 by failing to establish and implement policies, procedures, and internal controls reasonably designed to achieve compliance with the Bank Secrecy Act (BSA) and implementing regulation 31 C.F.R. § 1010.520, which required the firm to search its records in response to Financial Crimes Enforcement Network (FinCEN) requests. As a result, the firm failed to timely search …
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