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Raymond James agrees to pay FINRA $17 Million in Fines

The Financial Industry Regulatory Authority (FINRA) has fined Florida-based Raymond James & Associates, Inc. (RJA) $8 million and Raymond James Financial Services, Inc. (RJFS) $9 million for failures in anti-money laundering (AML) compliance. According to the regulator, the fines are a result of an investigation which revealed that for several years, RJA and RJFS were unable to deliver a sufficiently robust AML compliance program.

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AML News Roundup: The Past 21 days in Corruption News

We have selected some of the AML news highlights from the past 21 days across the globe and condensed them into this short blog post.

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