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Articles Posted in RBC Dain Rauscher

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RBC Dain Rauscher Fined $90K for Compliance Program Flaws

The New York Stock Exchange Regulation Inc. announced that RBC Dain Rauscher Inc. consented to be fined $90,000 for failures related to its anti-money laundering compliance program. According to an exchange press release, the Minneapolis-based firm failed to establish written procedures regarding filing of suspicious activity reports. Additionally, the exchange…

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