Aegis Capital, compliance officers resolve cases with FINRA, SEC
Aegis Capital must pay a $550K fine to the Financial Industry Regulatory Authority, and a $750K penalty to the SEC for failing to have adequate supervisory and anti-money laundering programs in place. Two Aegis CCOs were found to have aided and abetted the violations.
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This webinar tackles the current legal landscape head-on, giving compliance officers a practical lens on the latest developments impacting your oversight responsibilities.