Question

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Finra Issues $11,500 Penalty Against Former AML Compliance Officer
BRIEF
The Financial Industry Regulatory Authority imposed a four-month suspension and a fine against Dennis Young, who between July 2008 and June 2011 served as Clark Dodge & Co., Inc.'s anti-money laundering (AML) compliance officer.
The disciplinary action revealed that when Young was working as the AML compliance officer, from Nov. 13, 2009 through Jan. 28, 2011, the firm failed to develop an adequate AML program that would detect and prevent suspicious activity. Specifically, the firm’s AML monitoring program failed to detect, investigate and report, if necessary, potentially suspicious activity related to the deposit and liquidation of low-priced security through various accounts. Young failed to apply additional due diligence, as required by the firm’s AML procedures, when certain red flags indicated suspicious activity.
In addition, acting as the chief compliance officer, Young failed to establish proper supervisory procedures to ensure that the firm complied with all securities laws and regulations.
Disclaimer:
This publication provides general information and should not be used or taken as legal advice.
Finra.EnfAct.DennisYoung.102914

Answer 1

(美国)金融监管局向前反洗钱合规官罚款11500美元
概要：
(美国)金融监管局向Dennis Young处以吊销四个月执照、并罚款11500美元的处罚。Dennis Young于2008年7月至2011年6月期间在克拉克·道奇银行担任AML(反洗钱)合规官。处分通知中说，Young就任反洗钱合规官期间(2009年11月13日至2011年6月28日)，该公司未能形成一套有效检测并防止可疑的金融流动的反洗钱机制。尤其是(金融监管局规定)，如果有必要，反洗钱监控程序应能检测、调查和报告通过多个不同账户购入和抛出低价证券这种潜在的可疑金融活动，而该公司未能如实履行。
按照该公司反洗钱流程的要求，当出现代表可疑金融流动的红色标记时(应采取进一步的对策)，而Young未能就此恪尽职守。
此外，身为首席合规官，Young未能建立适当的监管流程，以确保公司自身合乎所有的证券法律法规。
免责声明：
本段文字仅提供了概要信息，不得被用作或当做法律建议。金融监管局Dennis Young案.102914

Answer 2

Finra Issues $11,500 Penalty Against Former AML Compliance Officer
FINRA发行11500美元的点球前AML合规官
BRIEF
简介
The Financial Industry Regulatory Authority imposed a four-month suspension and a fine against Dennis Young, who between July 2008 and June 2011 served as Clark Dodge & Co., Inc.'s anti-money laundering (AML) compliance officer.
金融业监管局处以禁赛一四个月和罚款对年轻的丹尼斯，谁在七月2008和六月2011担任克拉克道奇公司，公司的反洗钱（AML）合规官。
The disciplinary action revealed that when Young was working as the AML compliance officer, from Nov. 13, 2009 through Jan. 28, 2011, the firm failed to develop an adequate AML program that would detect and prevent suspicious activity. Specifically, the firm’s AML monitoring program failed to detect, investigate and report, if necessary, potentially suspicious activity related to the deposit and liquidation of low-priced security through various accounts. Young failed to apply additional due diligence, as required by the firm’s AML procedures, when certain red flags indicated suspicious activity.
纪律处分透露，年轻时是反洗钱合规官，从2009年11月13日到2011年1月28日，该公司未能制定适当的反洗钱程序，检测和阻止可疑活动。具体来说，该公司的反洗钱监控程序无法检测，调查和报告，如果有必要，潜在的可疑活动有关的矿床和廉价的安全通过各种账户的清算。年轻没有申请额外的尽职调查，根据公司的反洗钱程序，当某些红旗表示可疑活动。
In addition, acting as the chief compliance officer, Young failed to establish proper supervisory procedures to ensure that the firm complied with all securities laws and regulations.
此外，作为首席合规官，年轻没有建立适当的监管程序，确保公司符合所有的证券法律、法规。
Disclaimer:
免责声明：
This publication provides general information and should not be used or taken as legal advice.
本出版物提供的一般信息，不应使用或作为法律咨询。
Finra.EnfAct.DennisYoung.102914
finra.enfact.dennisyoung.102914