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Score Priority Settles AML Case with FINRA

April 30, 2021 by Louis Chunovic

Score Priority Settles AML Case with FINRA

Broker-dealer Score Priority has settled with the Financial Industry Regulatory Authority, which charged the New York City-based firm with anti-money laundering (AML) violations. According to FINRA, the firm, which changed its name from  Just2Trade, Inc. in January 2020, “failed to develop and implement an anti-money laundering (AML) program reasonably designed to achieve and monitor the… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Risk Management, Governance, Back-Office, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: AML, AML Compliance, AML/Fraud/Financial Crime, clearing, derivatives, FINRA, Just2Trade, operational risk, risk management, Score Priority, Securities Operations

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