{"id":11402,"date":"2025-01-28T04:08:18","date_gmt":"2025-01-27T19:08:18","guid":{"rendered":"https:\/\/www.sanctionlab.com\/?p=11402"},"modified":"2025-12-22T14:37:15","modified_gmt":"2025-12-22T05:37:15","slug":"%e7%be%8e-sec-%ea%b3%a0%ec%9c%84%ed%97%98-%ea%b3%84%ec%a2%8c-%eb%b0%a9%ec%b9%98%ed%95%9c-lpl-%ed%8c%8c%ec%9d%b4%eb%82%b8%ec%85%9c%ec%97%90-1800%eb%a7%8c-%eb%8b%ac%eb%9f%ac-%eb%b2%8c%ea%b8%88","status":"publish","type":"post","link":"https:\/\/www.sanctionlab.com\/?p=11402","title":{"rendered":"\u7f8e SEC, \uace0\uc704\ud5d8 \uacc4\uc88c \ubc29\uce58\ud55c LPL \ud30c\uc774\ub0b8\uc15c\uc5d0 1800\ub9cc \ub2ec\ub7ec \ubc8c\uae08"},"content":{"rendered":"<h3>| 7300\uac1c \uacc4\uc88c \uc2e0\uc6d0 \ubbf8\ud655\uc778&#8230;\ub9c8\uc57d \uad00\ub828 \uace0\uc704\ud5d8 \uacc4\uc88c\ub3c4 \ubc29\uce58<br \/>\n| SEC &#8220;\uc99d\uad8c \uc2dc\uc7a5 \uc548\uc815\uc131 \uc704\ud611\ud588\ub2e4&#8221;<\/h3>\n<p><strong>&lt;\uac1c\uc694&gt;<\/strong><br \/>\n\ubbf8\uad6d \uc99d\uad8c\uac70\ub798\uc704\uc6d0\ud68c(SEC)\ub294 17\uc77c(\ud604\uc9c0\uc2dc\uac01) LPL \ud30c\uc774\ub0b8\uc15c(LPL Financial)\uc744 \uc790\uae08\uc138\ud0c1\ubc29\uc9c0(AML) \uc704\ubc18 \ud610\uc758\ub85c 1800\ub9cc \ub2ec\ub7ec(\uc57d 257\uc5b55800\ub9cc \uc6d0)\uc758 <a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2025-17\">\ubc8c\uae08\uc744 \ubd80\uacfc<\/a>\ud588\uc74c. LPL \ud30c\uc774\ub0b8\uc15c\uc740 2019\ub144\ubd80\ud130 2023\ub144\uae4c\uc9c0 \uace0\uac1d\uc2dd\ubcc4\ud504\ub85c\uadf8\ub7a8(CIP)\uc744 \uc81c\ub300\ub85c \uc2dc\ud589\ud558\uc9c0 \uc54a\uc544 \uace0\uc704\ud5d8 \uacc4\uc88c\ub97c \ubc29\uce58\ud588\uc73c\uba70, AML \uc815\ucc45\uc744 \uc9c0\uc18d\uc801\uc73c\ub85c \uc704\ubc18\ud588\uc74c. LPL \ud30c\uc774\ub0b8\uc15c\uc740 \ubc8c\uae08\uc744 \ub0a9\ubd80\ud558\uace0, \ucee8\uc124\ud134\ud2b8\ub97c \uace0\uc6a9\ud574 AML \uc815\ucc45 \ubc0f \uc808\ucc28\ub97c \uac1c\uc120\ud558\uae30\ub85c \ud569\uc758\ud588\uc74c. SEC\ub294 LPL \ud30c\uc774\ub0b8\uc15c\uc758 \uc704\ubc18\uc774 \uc99d\uad8c \uc2dc\uc7a5\uc758 \uc548\uc815\uc131\uc744 \uc2ec\uac01\ud558\uac8c \uc704\ud611\ud588\ub2e4\uace0 \uc9c0\uc801\ud588\uc74c.<\/p>\n<p><strong>&lt;\uad6c\uccb4\uc801 \ub0b4\uc6a9&gt;<\/strong><br \/>\nSEC\ub294 LPL \ud30c\uc774\ub0b8\uc15c\uc774 2019\ub144 5\uc6d4\ubd80\ud130 2023\ub144 12\uc6d4\uae4c\uc9c0 AML \uc758\ubb34\ub97c \ubc18\ubcf5\uc801\uc73c\ub85c \uc704\ubc18\ud588\ub2e4\uace0 \ubc1d\ud614\uc74c.<\/p>\n<p>LPL \ud30c\uc774\ub0b8\uc15c\uc740 2020\ub144 AML \uc815\ucc45\uc744 \uc5c5\ub370\uc774\ud2b8\ud558\uc5ec \uacc4\uc88c \uc2e0\uc6d0 \ud655\uc778\uc774 \uc548 \ub418\ub294 \uacbd\uc6b0 \ud574\ub2f9 \uacc4\uc88c\ub97c 60\uc77c \uc774\ub0b4\uc5d0 \ud3d0\uc1c4\ud558\ub3c4\ub85d \ud558\ub294 \uaddc\uc815\uc744 \ub9c8\ub828\ud588\uc73c\ub098, \uc774\ub97c \uc81c\ub300\ub85c \uc2dc\ud589\ud558\uc9c0 \uc54a\uc544 \uacb0\uacfc\uc801\uc73c\ub85c 2022\ub144\uae4c\uc9c0 7300\uac1c \uc774\uc0c1\uc758 \uc2e0\uc6d0 \ubbf8\ud655\uc778 \uacc4\uc88c\ub97c \ubc29\uce58\ud588\uc74c. \ub610 \ub300\ub9c8\ucd08 \uad00\ub828 \uc0ac\uc5c5 \ubc0f \ud2b9\uc815 \uc678\uad6d \uad00\ud560\uad8c \uacc4\uc88c\ub97c \uae08\uc9c0\ud558\ub294 \uaddc\uc815\ub3c4 \uc81c\ub300\ub85c \uc774\ud589\ub418\uc9c0 \uc54a\uc558\uc73c\uba70, \uc218\ucc9c \uac1c\uc758 \ud574\ub2f9 \uacc4\uc88c\uac00 \uc5ec\uc804\ud788 \ud65c\uc131\ud654\ub41c \uc0c1\ud0dc\uc600\uc74c.<\/p>\n<p>\uc774\ub85c \uc778\ud574 \ud68c\uc0ac\ub294 \uc99d\uad8c\uad00\ub828 \uae30\ub85d \uc720\uc9c0\uc640 \ubcf4\uace0\uc758\ubb34\ub97c \uaddc\uc815\ud558\ub294 <a href=\"https:\/\/www.sec.gov\/files\/litigation\/admin\/2025\/34-102224.pdf\">\uc99d\uad8c\uac70\ub798\ubc95 \uc81c17\uc870\ub97c \uace0\uc758\uc801\uc73c\ub85c \uc704\ubc18\ud55c \uac83\uc73c\ub85c \ud310\uc815<\/a>\ubc1b\uc558\uc74c. LPL \ud30c\uc774\ub0b8\uc15c\uc740 SEC \uc870\uc0ac \uacb0\uacfc\ub97c \uc778\uc815\ud558\uac70\ub098 \ubd80\uc778\ud558\uc9c0 \uc54a\uc558\uc9c0\ub9cc, 1800\ub9cc \ub2ec\ub7ec(\uc57d 257\uc5b55800\ub9cc \uc6d0)\uc758 \ubc8c\uae08\uc744 \ub0a9\ubd80\ud558\uae30\ub85c \ud569\uc758\ud588\uc74c.<\/p>\n<p>SEC\ub294 LPL \ud30c\uc774\ub0b8\uc15c\uc758 \uc704\ubc18\uc774 \uae08\uc735\ubc94\uc8c4\ub97c \uac10\uc9c0\ud558\uace0 \ubc29\uc9c0\ud558\ub824\ub294 \uc815\ubd80\uc758 \ub178\ub825\uc744 \uc800\ud574\ud588\uc73c\uba70, \uc99d\uad8c \uc2dc\uc7a5\uc758 \uc548\uc815\uc131\uc744 \uc2ec\uac01\ud558\uac8c \uc704\ud611\ud588\ub2e4\uace0 \uac15\uc870\ud588\uc74c. \uc774\ubc88 \ucc98\ubc8c\uc5d0 \ub530\ub77c LPL \ud30c\uc774\ub0b8\uc15c\uc740 \ucee8\uc124\ud134\ud2b8\ub97c \uace0\uc6a9\ud574 AML \uc815\ucc45 \ubc0f \uc808\ucc28\ub97c \uac1c\uc120\ud558\uace0 SEC\uc5d0 \uc815\uae30\uc801\uc73c\ub85c \ubcf4\uace0\uc11c\ub97c \uc81c\ucd9c\ud574\uc57c \ud568. \ucee8\uc124\ud134\ud2b8\ub294 LPL \ud30c\uc774\ub0b8\uc15c\uc758 AML \uc815\ucc45\uc744 \uc885\ud569\uc801\uc73c\ub85c \uac80\ud1a0\ud558\uace0, \uac1c\uc120 \ubc29\uc548\uc744 \uad8c\uace0\ud558\uba70, \uc870\uce58 \uc774\ud589 \uc5ec\ubd80\ub97c \ud3c9\uac00\ud560 \uc608\uc815\uc784. \uccab \ubc88\uc9f8 \ubcf4\uace0\uc11c\ub294 \uba85\ub839 \ud6c4 45\uc77c \uc774\ub0b4\uc5d0 \uc81c\ucd9c\ub418\uace0, \uc774\ud6c4 1\ub144\uac04 \uc815\uae30 \ud3c9\uac00\uac00 \uc9c4\ud589\ub420 \uacc4\ud68d\uc784.<\/p>\n<p>SEC \uc9d1\ud589\ubd80 \uc2a4\ud14c\uc774\uc2dc \ubcf4\uac70\ud2b8(Stacy Bogert) \ubd80\uad6d\uc7a5\uc740 \uace0\uac1d \uc2e0\uc6d0 \ud655\uc778 \ubc0f \uc9c0\uc18d\uc801\uc778 \uc2e4\uc0ac\uc758 \uc911\uc694\uc131\uc744 \uac15\uc870\ud558\uba70, LPL \ud30c\uc774\ub0b8\uc15c\uacfc \uac19\uc740 \uc911\uac1c\uc5c5\uccb4\uac00 AML \uc758\ubb34\ub97c \uc704\ubc18\ud560 \uacbd\uc6b0 \uc99d\uad8c \uc2dc\uc7a5 \uc804\uccb4\uac00 \uc704\ud5d8\uc5d0 \ucc98\ud560 \uc218 \uc788\ub2e4\uace0 \uacbd\uace0\ud588\uc74c.<\/p>\n<p><strong>&lt;\uc2dc\uc0ac\uc810&gt;<\/strong><br \/>\nLPL \ud30c\uc774\ub0b8\uc15c \uc0ac\ub840\ub294 AML \uaddc\uc815 \uc900\uc218\uc758 \uc911\uc694\uc131\uc744 \ubcf4\uc5ec\uc8fc\ub294 \ub300\ud45c\uc801 \uc0ac\ub840\uc784. \uaddc\uc815\uc744 \uc900\uc218\ud558\uc9c0 \uc54a\uc73c\uba74 \uae30\uc5c5\uc740 \ub9c9\ub300\ud55c \ubc8c\uae08\ubfd0 \uc544\ub2c8\ub77c \uc2e0\ub8b0 \uc190\uc2e4 \uc704\ud5d8\uc5d0 \uc9c1\uba74\ud558\uac8c \ub428. \uae08\uc735\uae30\uad00\uc740 \uace0\uac1d \uc2e4\uc0ac\uc640 \uacc4\uc88c \ubaa8\ub2c8\ud130\ub9c1 \uc808\ucc28\ub97c \ucca0\uc800\ud788 \uc2dc\ud589\ud574\uc57c \ud558\uba70, \ub0b4\ubd80 \ud1b5\uc81c \uc2dc\uc2a4\ud15c\uacfc \uc9c1\uc6d0 \uad50\uc721\uc744 \ud1b5\ud574 \uae08\uc735 \ubc94\uc8c4 \ubc29\uc9c0 \ub178\ub825\uc744 \uc9c0\uc18d\ud574\uc57c \ud568.<\/p>\n<p>(1\ub2ec\ub7ec=1431\uc6d0 \uae30\uc900)<\/p>\n","protected":false},"excerpt":{"rendered":"<p>| 7300\uac1c \uacc4\uc88c \uc2e0\uc6d0 \ubbf8\ud655\uc778&#8230;\ub9c8\uc57d \uad00\ub828 \uace0\uc704\ud5d8 \uacc4\uc88c\ub3c4 \ubc29\uce58 | SEC &#8220;\uc99d\uad8c \uc2dc\uc7a5 \uc548\uc815\uc131 \uc704\ud611\ud588\ub2e4&#8221; &lt;\uac1c\uc694&gt; \ubbf8\uad6d \uc99d\uad8c\uac70\ub798\uc704\uc6d0\ud68c(SEC)\ub294 17\uc77c(\ud604\uc9c0\uc2dc\uac01) LPL \ud30c\uc774\ub0b8\uc15c(LPL Financial)\uc744 \uc790\uae08\uc138\ud0c1\ubc29\uc9c0(AML) \uc704\ubc18 \ud610\uc758\ub85c 1800\ub9cc \ub2ec\ub7ec(\uc57d 257\uc5b55800\ub9cc \uc6d0)\uc758 \ubc8c\uae08\uc744 \ubd80\uacfc\ud588\uc74c. LPL \ud30c\uc774\ub0b8\uc15c\uc740 2019\ub144\ubd80\ud130 2023\ub144\uae4c\uc9c0 \uace0\uac1d\uc2dd\ubcc4\ud504\ub85c\uadf8\ub7a8(CIP)\uc744 \uc81c\ub300\ub85c \uc2dc\ud589\ud558\uc9c0 \uc54a\uc544 \uace0\uc704\ud5d8 \uacc4\uc88c\ub97c \ubc29\uce58\ud588\uc73c\uba70, AML \uc815\ucc45\uc744 \uc9c0\uc18d\uc801\uc73c\ub85c \uc704\ubc18\ud588\uc74c. LPL \ud30c\uc774\ub0b8\uc15c\uc740 \ubc8c\uae08\uc744 \ub0a9\ubd80\ud558\uace0, \ucee8\uc124\ud134\ud2b8\ub97c \uace0\uc6a9\ud574 AML \uc815\ucc45 \ubc0f [&hellip;]<\/p>\n","protected":false},"author":24,"featured_media":7828,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[8525,612,1,8],"tags":[44,672,36,769,184],"class_list":{"0":"post-11402","1":"post","2":"type-post","3":"status-publish","4":"format-standard","5":"has-post-thumbnail","7":"category-drug","8":"category-usa","9":"category-money-laundering","10":"category-compliance","11":"tag-sec","12":"tag-672","13":"tag-36","14":"tag-769","15":"tag-184"},"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.8 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>\u7f8e SEC, \uace0\uc704\ud5d8 \uacc4\uc88c \ubc29\uce58\ud55c LPL \ud30c\uc774\ub0b8\uc15c\uc5d0 1800\ub9cc \ub2ec\ub7ec \ubc8c\uae08 SanctionLab<\/title>\n<meta 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