US financial company Aegis Investments, Inc has agreed to a USD 7,500 fine as part of an agreement with the Financial Industry Regulatory Authority (FINRA) because the company failed to conduct independent testing of the Anti-Money Laundering (AML) compliance program between 2011 and 2020, in violation of FINRA rules.
FINRA Fines Aegis Investments for Shortcomings in the AML Implementation
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