SEC fines Canaccord Genuity $20m for failing to file 150 suspicious
activity reports
opalesque
3 months ago
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Matthias Knab, Opalesque: The U.S. Securities and Exchange Commission (SEC) has ordered Canaccord Genuity LLC to pay a $20 million civil penalty after finding the broker-dealer failed to file approximately 150 suspicious activity reports (SARs) related to its equity trading businesses over a three-y...
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