US EditionFINRA fines Sonenshine & Company LLC
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FINRA Fines Sonenshine & Company LLC
According to a Letter of Acceptance, Waiver, and Consent (AWC) published by the regulator, the New York-based investment banking firm failed to establish and implement policies and internal controls reasonably designed to comply with the Bank Secrecy Act. Notably, FINRA says the firm did not respond in a timely manner to Financial Crimes Enforcement Network (FinCEN) requests in 2021 and failed to conduct required annual independent AML testing …
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