标记的文章违反AML

金融业监管机构说Oppenheimer＆Co。（OPY）将支付$ 1,425,000的罚款，以销售未经注册的便士股票出售，并且没有进行反洗钱（AML）合规计划，该计划足以识别和报告可疑交易。这家金融公司还必须让独立顾问对其AML程序，系统和政策及其便士股票进行全面审查。

根据SRO的数据，从8/18/08到9/20/10，Oppenheimer售出了超过二十张二十一分钱股票的股票，这些股票价格低廉，非常投机，但未注册或缺乏适用的豁免。开设帐户后不久，客户将大量便士股票存入了清算，然后将收益从帐户中移出。

FINRAcontends that each sale came with “red flags” that should have spurred the firm to additional review to find out whether or not these were registered sales but that adequate supervisory assessment did not happen.The regulator also believes that Oppenheimer’s procedures and systems over penny stock transactions were not adequate and that because its AML program wasn’t focused on securities transactions it was unable to detect patterns of suspect activity linked to penny stock trades.