Money Laundering: It's on the SEC's Radar Screen
LORI A. RICHARDS
(Director of the Office of Compliance Inspections and Examinations at the Securities and Exchange Commission in Washington DC.)
118
Abstract
The author, Director of the Office of Compliance Inspections and Examinations at the SEC, talks about how the anti‐money laundering laws apply to securities firms while also discussing a new examinations initiative that the SEC, NYSE, and NASD are undertaking to focus the industry's attention on compliance programs that detect and prevent money laundering.
Citation
RICHARDS, L.A. (2001), "Money Laundering: It's on the SEC's Radar Screen", Journal of Investment Compliance, Vol. 2 No. 2, pp. 5-10. https://doi.org/10.1108/eb045904
Publisher
:MCB UP Ltd
Copyright © 2001, MCB UP Limited