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Compliance Corner: SEC, Interactive Brokers

Editorial Staff

11 August 2020

Interactive Brokers, SEC
The to detect potential violations of the securities laws, particularly in the microcap space,” Marc P Berger, director of the SEC’s New York regional office, said. “Today’s multi-agency settlement reflects the seriousness we place on broker-dealers complying with their SAR reporting obligations and maintaining appropriate anti-money laundering controls.”