Jenner & Block

“Anti-Money Laundering For Registered Broker-Dealers,” Fraud Magazine

In this article, Jenner & Block Partner Charles D. Riely and Associate Jing Xun Quek examine trends in the US Securities and Exchange Commission’s Anti-Money Laundering-related enforcement activities.  One priority of SEC regulators, according to the authors, is ensuring compliance to federal regulations that require stock broker-dealers to file Suspicious Activity Reports when they suspect that fraud is occurring. The authors also explore how companies and legal counsel can adapt to these developments