the Federal Reserve Board announced that it had issued a Cease and Desist
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and the Federal Reserve Board. The order requires HNAH to take corrective
for violating the Bank Secrecy Act and its underlying regulations.
as required by applicable suspicious activity reporting laws and
' resulting in limited and ineffective BSA/AML monitoring
inhibiting its assessment of customer risk and the identification of suspicious activity in
which caused the bank to file many late SARs; and failure to appropriately designate
the OCC issued a Cease and Desist Order against Citibank
the independent BSA and the anti-money laundering audit function
and suspicious activity reporting related to that monitoring. These fìndings
FINRA assessed a $1 million penalty against E""Trade Securities and E""
thereby eliminating detection and review of potentially
validation and documentation of automated monitoring systems
lnvestigating and Suspicious Activity Report Filing Program -
please see the lnterdiction Software and List