AML Compliance for Investment Firms 

The 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

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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