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Renee Kramer comments in GARP Risk Intelligence: Regulators hold individuals accountable for conduct; FINRA fines anti-money-laundering officer in case against Raymond James

June 3, 2016

Renee Kramer, member of the Financial Regulatory and Compliance and Government Investigation groups at Shulman Rogers, comments on FINRA and the case against Raymond James in “Compliance Officers Bear Risk”, an article published by the Global Association of Risk Professionals (GARP). 

Read the article at GARP.