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The firm will pay penalties to the SEC, FINRA, and the CFTC for allegedly failing to report suspicious activity to them.
Interactive Brokers (IB) will be writing several checks and money orders as it pays $38 million in penalties to three industry regulators for alleged failures in filing Suspicious Activity Reports (SARs), and anti-money laundering (AML) controls — a clear sign that authorities are cracking down on the obligation to monitor suspicious activity. The SEC is...
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