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A discount brokerage company Scottrade was fined by the Financial Industry Regulatory Authority $600,000 for allegedly inadequate money laundering controls to detect suspicious transactions.
The FINRA, the brokerage industry's self-policing organization, announced the fine on Monday. On the other end, Scottrade neither admitted nor denied any FINRA’s allegations.
As is known like banks brokerage companies are obliged to establish proper anti-money laundering policies, procedures and internal controls.
"Each firm’s AML program must be tailored to its business model, including the technological environment in which the firm operates,” said Susan L. Merrill, FINRA Executive Vice President and Chief of Enforcement. “In this case, despite the large volume of on-line trading at Scottrade, the firm failed to establish any systematic or automated surveillance until 2005. Then, the automated system the firm implemented remained inadequate because it focused only on suspicious trading that was accompanied by suspicious money movement."
FINRA said that among the risks inherent to Scottrade’s brokerage model and the firm’s substantial trading volume are an increased risk of identity theft, account intrusions and the use of customer accounts to launder money using securities or other financial instruments, or to violate securities laws.
Scottrade failed to establish any systematic or automated surveillance system until 2005, and that system was inadequate, Merrill said.