FINRA - Financial Industry Regulatory Authority

FINRA fines Wells Fargo $2.25M over customer data issue, as the firm failed to store approximately 13 million records related to their customer identification programn an integral part of an anti-money laundering program


Published on Dec. 6th, 2021 Published on Dec. 6th, 2021
Scenario: Conduct / Breach of AML, Terrorism Financing or Sanctions Regulations

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