United States: FINRA Reminds Broker-Dealers Of Their Obligations To Safeguard Customer Information And To Build Controls Designed To Protect Customers From Fraud  - Bryan Cave Leighton Paisner LLP

United States: FINRA Reminds Broker-Dealers Of Their Obligations To Safeguard Customer Information And To Build Controls Designed To Protect Customers From Fraud - Bryan Cave Leighton Paisner LLP

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According to FINRA, the number of reported instances involving broker-dealer fraudulent account takeovers (ATO) and related theft is on the rise.

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