Canaccord Genuity将赔偿2019年至2022年间美国创纪录的和解金1.094亿美元，赔偿BSA违规行为。 Canaccord Genuity to pay $109.4M in record U.S. settlement for BSA violations from 2019–2022.

Canacord Genuity同意在与美国监管者-FinCEN、SEC和财政部的一笔创纪录的和解中,为蓄意违反2019年至2022年的《银行保密法》支付1.094亿美元。 Canaccord Genuity has agreed to pay $109.4 million in a record settlement with U.S. regulators—FinCEN, the SEC, and the Treasury—for wilful violations of the Bank Secrecy Act from 2019 to 2022. 该公司没有提交数百份可疑活动报告,忽视了对低价证券高风险交易的监测,并允许遵守管制不力,从而有可能发生洗钱和欺诈计划。 The firm failed to file hundreds of suspicious activity reports, neglected to monitor high-risk trading in low-priced securities, and allowed inadequate compliance controls, enabling potential money laundering and fraud schemes. 监管者列举了系统性缺陷,包括伪造记录和未经审查的红色旗帜。 Regulators cited systemic deficiencies, including falsified records and unreviewed red flags. 虽然全额罚款为1.094亿美元,但Canacord预计将支付大约1.026亿美元,在审查遵守情况之前暂停部分罚款。 While the full penalty is $109.4 million, Canaccord expects to pay about $102.6 million, with part suspended pending a compliance review. 该公司对其合规领导、人员配置和系统进行了全面改革,并表示此事已得到解决。 The company has overhauled its compliance leadership, staffing, and systems, and stated the matter is resolved.