AML Compliance for Investment Firms 

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Avoid staggering fines by implementing effective AML strategies.

Surge in enforcement actions on investment firmsThe regulatory climate for investment firms has changed. Suddenly, investment firms, previously stayed under the radar for Anti-Money Laundering (AML) compliance, now find themselves caught in the crosshairs. 

In the first six months of 2019, enforcement actions were up over 200% for the same period in 20181.  Recent fines imposed for ineffective compliance programs have been exorbitant.

In addition to excessive fines, investment firms cited for non-compliance often see a loss in shareholder value and suffer severe damage to their reputation.  Fortunately, enforcement actions are avoidable. 



With the right end-to-end tools, investment firms can create a robust compliance program that gives them a 360-degree view of their customers and transactions, greatly mitigating their risk.

Consider these alarming examples:

  • $15M – Multi-national bank for failure to detect suspicious activities involving shell companies2
  • $10M – U.S. bank for AML and Bank Secrecy Act (BSA) regulatory failures3
  • $400K – Broker-dealer BSA violation for failure to file a Suspicious Activity Report (SAR)4

Request our new infographic to learn about industry-proven solutions to manage regulatory oversight with confidence and ease.




1. Hodgkins, Gerald; Hulnick, Blake and McGrath, Catherine, “SEC has been busy in 2019”, www.law360.com, April 2019
2. https://news.law/related-broker-dealers-fined-us-15-million-by-the-sec-finra-and-fincen-for-alleged-aml-program-deficiencies-unrelated-bd-fined-us-5-5-million-for-purportedlyselling-ipos-to-industry-insiders/
3. http://www.finra.org/newsroom, December 2018
4. www.law360.com/articles, December 2018

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