FINRA FINES BNP PARIBAS SECURITIES CORP AND BNP PARIBAS PRIME BROKERAGE INC $15 MILLION FOR AML PROGRAM AND SUPERVISORY FAILURES

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FINRA announced that it has fined BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. (collectively, BNP) $15 mil...


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FINRAAMLFailure to Supervise

CN Editor

October 25, 2019

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