The Financial Industry Regulatory Authority (FINRA) has ordered a compliance officer to pay $25,000 for failing to establish and implement a “reasonably designed” anti-money laundering (AML) compliance program at the brokerage firm where he worked.

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Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,...