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The SEC and FINRA have charged Aegis Capital with failing to comply with financial crime recordkeeping and reporting rules, and failing to have adequate supervisory and AML programs.
Aegis Capital Corp., a retail and institutional broker-dealer based in New York City, has paid a penalty to the SEC and a fine to self-regulatory organization the Financial Industry Regulatory Authority (FINRA) in response to charges that it failed to comply with financial crime recordkeeping and reporting rules and had inadequate supervisory and anti-money laundering...
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