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How securities companies can comply with OFAC in 2023 and avoid FINRA scrutiny
Asked 1 years ago
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has this question
1 years ago neit jaycobs posted:
Securities firms and the brokers who work for them have many rules and regulations that they must follow. How do you avoid problems with that? Replies
Replied 1 years ago
1 years ago sapek 067 replied:
Well, we can talk about this topic for a long time. I think that you can pass any test successfully and without problems if you do everything legally and do not hide anything. But I think you need to consult with experts.
Replied 1 years ago
1 years ago inn forkk replied:
Hey there! So, I came across an interesting article that talks about how securities firms can avoid scrutiny from FINRA in 2023. The article, which you can find at https://www.natlawreview.com/article/how-securities-firms-can-comply-ofac-2023-and-avoid-finra-scrutiny, provides some helpful tips on how to comply with OFAC regulations and avoid any unwanted attention from regulators. It's definitely worth a read if you work in the securities industry and want to stay on top of compliance issues. Check it out!