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Recordkeeping breach costs RBC, BNY Mellon US$85m

KARREN VERGARA  |  FRIDAY, 16 AUG 2024
... securities laws. The SEC argued that failure to do so deprives it from conducting its investigations. Ameriprise Financial Services, Edward D. Jones & Co, LPL Financial, Raymond James & Associates each agreed to pay the largest penalty of US$50 million. ...
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