Investment companies still liable for AML


Wary of their exposure, mutual funds are increasingly delegating their AML obligations to their agents, who deal with investors directly, according to Robert Tull, a former SEC examiner, and now a senior consultant at SEC Compliance Consultants in Phoenixville, Pennsylvania.

Speaking at the Financial Markets World-sponsored conference on Anti-money laundering in the securities and investment industries in Boston at the end of April, Tull said mutual funds must be careful to balance their need to

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