Money Laundering Bulletin
Aegis Capital pays US$1.3m for SAR filing breaches, ex-AML officer & CEO fined
By Keith Nuthall
New York brokerage
firm Aegis Capital Corporation has paid US$1.3 million in penalties to the US
Securities & Exchange Commission (SEC) [1] and Financial Industry
Regulatory Authority (FINRA) [2] over failures to file suspicious activity
reports (SARs).