{"id":19363,"date":"2025-03-24T04:01:34","date_gmt":"2025-03-23T19:01:34","guid":{"rendered":"https:\/\/www.sanctionlab.com\/?p=19363"},"modified":"2025-03-31T07:21:50","modified_gmt":"2025-03-30T22:21:50","slug":"finra-%ea%b3%a0%ec%9c%84%ed%97%98-%ea%b3%a0%ea%b0%9d-%ea%b4%80%eb%a6%ac-%eb%b6%80%ec%8b%a4%eb%a1%9c-%eb%89%b4%ec%9a%95-%ec%a6%9d%ea%b6%8c-%eb%b8%8c%eb%a1%9c%ec%bb%a4%ec%97%90-10%eb%a7%8c%eb%8b%ac","status":"publish","type":"post","link":"https:\/\/www.sanctionlab.com\/?p=19363","title":{"rendered":"FINRA, \uace0\uc704\ud5d8 \uace0\uac1d \uad00\ub9ac \ubd80\uc2e4\ub85c \ub274\uc695 \uc99d\uad8c \ube0c\ub85c\ucee4\uc5d0 10\ub9cc\ub2ec\ub7ec \ubc8c\uae08"},"content":{"rendered":"

| \uace0\uc704\ud5d8 \uc678\uad6d\uc778 \uacc4\uc88c \uad00\ub9ac \ubd80\uc2e4\u2026 \uc99d\uad8c \uac00\uaca9 \ud5c8\uc704 \uc548\ub0b4 \ud610\uc758\ub3c4<\/h3>\n

<\uac1c\uc694>
\n<\/strong>\ub274\uc695\uc5d0 \ubcf8\uc0ac\ub97c \ub454 \uc99d\uad8c \ube0c\ub85c\ucee4\uc778 \ud0c0\uc774\uadf8\ub808\uc2a4 \ud30c\uc774\ub0b8\uc15c \ud30c\ud2b8\ub108\uc2a4(Tigress Financial Partners)\uac00 \uc790\uae08\uc138\ud0c1\ubc29\uc9c0(AML) \uaddc\uc815\uc744 \uc704\ubc18\ud574 \ubbf8\uad6d \uae08\uc735\uc0b0\uc5c5\uaddc\uc81c\uccad(FINRA)\uc73c\ub85c\ubd80\ud130 10\ub9cc\ub2ec\ub7ec(\uc57d 1\uc5b54600\ub9cc\uc6d0)\uc758 \ubc8c\uae08\uc744 \ubd80\uacfc<\/a>\ubc1b\uc558\uc74c. \ud68c\uc0ac\ub294 \uace0\uc704\ud5d8 \uc9c0\uc5ed \ucd9c\uc2e0 \uace0\uac1d \uc218\ubc31 \uba85\uc744 \uc801\uc808\ud55c \uc2ec\uc0ac \uc5c6\uc774 \uc11c\ube44\uc2a4\uc5d0 \uac00\uc785\uc2dc\ud0a4\uace0 \uc774\ud6c4\uc5d0\ub3c4 \uc2e4\uc0ac\ub97c \uc18c\ud640\ud788 \ud55c \uc0ac\uc2e4\uc774 \ubc1d\ud600\uc84c\uc74c. \ub610 \ud2b9\uc815 \uc99d\uad8c \uac00\uaca9\uacfc \uc2e4\uc81c \uc2dc\uc7a5 \uac00\uce58 \uac04\uc758 \ucc28\uc774\ub97c \uace0\uac1d\uc5d0\uac8c \uc54c\ub9ac\uc9c0 \uc54a\uc740 \ud610\uc758\ub3c4 \ud3ec\ud568\ub3fc \uc788\uc74c. \uc774\ub7ec\ud55c AML \uc704\ubc18 \uc0ac\ub840\ub294 \ud2b9\ud788 \uc678\uad6d\uc778 \uace0\uac1d\uc744 \ub300\uc0c1\uc73c\ub85c \ud55c \uacc4\uc88c \uad00\ub9ac \ubd80\uc2e4\uc774 \uc8fc\uc694 \uc6d0\uc778\uc73c\ub85c \uc9c0\uc801\ub428. FINRA\ub294 \uc62c\ud574 \uc774\ubbf8 7\uac74\uc758 AML \uaddc\uc815 \uc704\ubc18\uacfc \uad00\ub828\ub41c \ubc8c\uae08\uc744 \ubd80\uacfc\ud588\uc74c.<\/p>\n

<\uad6c\uccb4\uc801 \ub0b4\uc6a9>
\n<\/strong>\ud0c0\uc774\uadf8\ub808\uc2a4 \ud30c\uc774\ub0b8\uc15c \ud30c\ud2b8\ub108\uc2a4\ub294 2018\ub144 1\uc6d4\ubd80\ud130 2022\ub144 3\uc6d4\uae4c\uc9c0 \uc57d 4\ub144 \ub3d9\uc548 \uace0\uc704\ud5d8 \uc9c0\uc5ed \ucd9c\uc2e0 \uc218\ubc31 \uba85\uc758 \uace0\uac1d\uc744 \uc11c\ube44\uc2a4\uc5d0 \uac00\uc785\uc2dc\ud0a4\uba74\uc11c \uaddc\uc815\ub41c \uc2ec\uc0ac \uc808\ucc28\ub97c \uc81c\ub300\ub85c \uc774\ud589\ud558\uc9c0 \uc54a\uc558\uc74c.<\/p>\n

FINRA \uc870\uc0ac\uc5d0 \ub530\ub974\uba74, \ud68c\uc0ac\uac00 \ucda9\ubd84\ud55c \uc2e4\uc0ac\ub97c \uac70\uce58\uc9c0 \uc54a\uc558\ub358 \uc678\uad6d\uc778 \uace0\uac1d \uc911 \ud55c \uba85\uc740 \uacc4\uc88c\ub97c \uc774\uc6a9\ud574 \uc544\ub974\ud5e8\ud2f0\ub098 \ud398\uc18c\ub97c \ubbf8\uad6d \ub2ec\ub7ec\ub85c \uc804\ud658\ud558\ub294 ‘\uc0c1\uc1c4 \uac70\ub798’\ub97c \uc5ec\ub7ec\ucc28\ub840 \uc218\ud589\ud588\uc74c. \uc0c1\uc1c4 \uac70\ub798\ub780 \uc8fc\uace0 \ubc1b\ub294 \ub9e4\ub9e4\ub97c \ubc18\ubcf5\ud558\ub294 \uac70\ub798\ub85c, \uc790\uae08 \ucd9c\ucc98\ub97c \ud750\ub9ac\ub294 \ub370 \uc545\uc6a9\ub420 \uc704\ud5d8\uc774 \ub192\uc740 \ubc29\uc2dd\uc784. \uadf8\ub7ec\ub098 \ud68c\uc0ac\ub294 \uc774\ub97c \uac10\uc9c0\ud558\uac70\ub098 \ucc28\ub2e8\ud558\uc9c0 \ubabb\ud588\uc74c.<\/p>\n

\ub610 \ub2e4\ub978 \uc678\uad6d\uc778 \uace0\uac1d\uc740 \ud574\uc678 \ubcf4\ud5d8\ud68c\uc0ac\ub85c\ubd80\ud130 70\ub9cc\ub2ec\ub7ec(\uc57d 10\uc5b5\uc6d0)\ub97c \uc1a1\uae08\ubc1b\uc544 \ud0c0\uc774\uadf8\ub808\uc2a4 \uacc4\uc88c\ub97c \uac1c\uc124\ud55c \ud6c4, \uc740\ud589 \uacc4\uc88c \uc815\ubcf4 \uacf5\uac1c \ucd5c\uc18c\ud654\ub97c \uc6d0\uce59\uc73c\ub85c \ud558\ub294 \uad6d\uac00\uc758 \ubcf4\ud5d8\ud68c\uc0ac\ub85c 50\ub9cc\ub2ec\ub7ec(\uc57d 7\uc5b53000\ub9cc\uc6d0)\ub97c \uc1a1\uae08\ud588\uc74c. \uc774\ud6c4 3\uac1c\uc6d4 \ub3d9\uc548 \ub610 \ub2e4\ub978 \uad6d\uac00\uc5d0\uc11c \ud604\uae08 8\ub9cc\ub2ec\ub7ec(\uc57d 1\uc5b51700\ub9cc\uc6d0)\ub97c \uc778\ucd9c\ud558\ub294 \ub4f1 \uc758\uc2ec\uc2a4\ub7ec\uc6b4 \uae08\uc735 \ud589\uc704\ub97c \ubc18\ubcf5\ud588\uc74c. \uc774\ub7ec\ud55c \uace0\uc704\ud5d8 \uac70\ub798\uc5d0 \ub300\ud574 \ud68c\uc0ac\ub294 \uc801\uc808\ud55c \uac10\uc2dc\uc640 \ub300\uc751\uc744 \uc218\ud589\ud558\uc9c0 \uc54a\uc558\uc74c. FINRA\ub294 \uc774\ub7ec\ud55c \uc678\uad6d\uc778 \uace0\uac1d\ub4e4\uacfc\uc758 \uac70\ub798\uac00 \ud0c0\uc774\uadf8\ub808\uc2a4 \ud68c\uc0ac \uc804\uccb4 \uc218\uc775\uc758 \uc0c1\ub2f9 \ubd80\ubd84\uc744 \ucc28\uc9c0\ud558\uace0 \uc788\uc5c8\ub2e4\uace0 \ubc1d\ud614\uc74c.<\/p>\n

\ub610\ud55c, \ud0c0\uc774\uadf8\ub808\uc2a4\ub294 \ud2b9\uc815 \uc99d\uad8c \uac00\uaca9\uacfc \ud604\uc7ac \uc2dc\uc7a5 \uac00\uce58 \uac04\uc758 \ucc28\uc774\uac00 \ubc1c\uc0dd\ud588\uc74c\uc5d0\ub3c4 \ubd88\uad6c\ud558\uace0 \uc774\ub97c \uad6c\ub9e4\uc790\uc5d0\uac8c \uc0ac\uc804\uc5d0 \uace0\uc9c0\ud558\uc9c0 \uc54a\uc558\uc74c. \uc774\ub294 \uae08\uc735\uc18c\ube44\uc790 \ubcf4\ud638 \uc758\ubb34\ub97c \uc18c\ud640\ud788 \ud55c \uac83\uc73c\ub85c \ud310\ub2e8\ub418\uc5b4 \ubc8c\uae08 \ubd80\uacfc\uc758 \ub610 \ub2e4\ub978 \uc0ac\uc720\ub85c \uc9c0\uc801\ub428.<\/p>\n

<\uc2dc\uc0ac\uc810>
\n<\/strong>\uc774\ubc88 \uc0ac\ub840\ub294 \uae08\uc735\uae30\uad00\uc774 \uace0\uc704\ud5d8 \uace0\uac1d\uad70\uc5d0 \ub300\ud574 \ucca0\uc800\ud55c \uc2e4\uc0ac\uc640 \uc9c0\uc18d\uc801\uc778 \ubaa8\ub2c8\ud130\ub9c1\uc744 \uc218\ud589\ud558\uc9c0 \uc54a\uc744 \uacbd\uc6b0 \uac10\ub3c5 \uae30\uad00\uc73c\ub85c\ubd80\ud130 \uc81c\uc7ac\ub97c \ubc1b\uc744 \uc218 \uc788\uc74c\uc744 \ubcf4\uc5ec\uc90c. AML \ud504\ub85c\uadf8\ub7a8\uc758 \ubbf8\ube44\ub294 \ub2e8\uc21c \ubc8c\uae08\ubfd0 \uc544\ub2c8\ub77c \ud68c\uc0ac \uc2e0\ub8b0\ub3c4\uc640 \ube44\uc988\ub2c8\uc2a4 \uc9c0\uc18d \uac00\ub2a5\uc131\uc5d0 \ud0c0\uaca9\uc744 \uc904 \uc218 \uc788\uc74c. \uae00\ub85c\ubc8c \uae08\uc735 \uc2dc\uc7a5\uc5d0\uc11c \uc790\uae08\uc138\ud0c1 \uc704\ud5d8\uc744 \uc120\uc81c\uc801\uc73c\ub85c \uad00\ub9ac\ud558\ub294 \uac83\uc774 \ud544\uc218\uc801\uc784.<\/p>\n

(1\ub2ec\ub7ec=1466\uc6d0)<\/p>\n","protected":false},"excerpt":{"rendered":"

| \uace0\uc704\ud5d8 \uc678\uad6d\uc778 \uacc4\uc88c \uad00\ub9ac \ubd80\uc2e4\u2026 \uc99d\uad8c \uac00\uaca9 \ud5c8\uc704 \uc548\ub0b4 \ud610\uc758\ub3c4 <\uac1c\uc694> \ub274\uc695\uc5d0 \ubcf8\uc0ac\ub97c \ub454 \uc99d\uad8c \ube0c\ub85c\ucee4\uc778 \ud0c0\uc774\uadf8\ub808\uc2a4 \ud30c\uc774\ub0b8\uc15c \ud30c\ud2b8\ub108\uc2a4(Tigress Financial Partners)\uac00 \uc790\uae08\uc138\ud0c1\ubc29\uc9c0(AML) \uaddc\uc815\uc744 \uc704\ubc18\ud574 \ubbf8\uad6d \uae08\uc735\uc0b0\uc5c5\uaddc\uc81c\uccad(FINRA)\uc73c\ub85c\ubd80\ud130 10\ub9cc\ub2ec\ub7ec(\uc57d 1\uc5b54600\ub9cc\uc6d0)\uc758 \ubc8c\uae08\uc744 \ubd80\uacfc\ubc1b\uc558\uc74c. \ud68c\uc0ac\ub294 \uace0\uc704\ud5d8 \uc9c0\uc5ed \ucd9c\uc2e0 \uace0\uac1d \uc218\ubc31 \uba85\uc744 \uc801\uc808\ud55c \uc2ec\uc0ac \uc5c6\uc774 \uc11c\ube44\uc2a4\uc5d0 \uac00\uc785\uc2dc\ud0a4\uace0 \uc774\ud6c4\uc5d0\ub3c4 \uc2e4\uc0ac\ub97c \uc18c\ud640\ud788 \ud55c \uc0ac\uc2e4\uc774 \ubc1d\ud600\uc84c\uc74c. \ub610 \ud2b9\uc815 \uc99d\uad8c \uac00\uaca9\uacfc \uc2e4\uc81c \uc2dc\uc7a5 […]<\/p>\n","protected":false},"author":24,"featured_media":17969,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[612,1,8],"tags":[719,1567,36],"class_list":{"0":"post-19363","1":"post","2":"type-post","3":"status-publish","4":"format-standard","5":"has-post-thumbnail","7":"category-usa","8":"category-money-laundering","9":"category-compliance","10":"tag-aml","11":"tag-finra","12":"tag-36"},"yoast_head":"\nFINRA, \uace0\uc704\ud5d8 \uace0\uac1d \uad00\ub9ac \ubd80\uc2e4\ub85c \ub274\uc695 \uc99d\uad8c \ube0c\ub85c\ucee4\uc5d0 10\ub9cc\ub2ec\ub7ec \ubc8c\uae08 SanctionLab<\/title>\n<meta name=\"description\" content=\"\ub274\uc695\uc5d0 \ubcf8\uc0ac\ub97c \ub454 \uc99d\uad8c \ube0c\ub85c\ucee4 \ub51c\ub7ec\uc778 \ud0c0\uc774\uadf8\ub808\uc2a4 \ud30c\uc774\ub0b8\uc15c \ud30c\ud2b8\ub108\uc2a4(Tigress Financial Partners)\uac00 \uc790\uae08\uc138\ud0c1\ubc29\uc9c0(AML) \uaddc\uc815\uc744 \uc704\ubc18\ud574 \uae08\uc735\uc0b0\uc5c5\uaddc\uc81c\uccad(FINRA)\uc73c\ub85c\ubd80\ud130 10\ub9cc\ub2ec\ub7ec(\uc57d 1\uc5b54600\ub9cc\uc6d0)\uc758 \ubc8c\uae08\uc744 \ubd80\uacfc\ubc1b\uc558\uc74c.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.sanctionlab.com\/?p=19363\" \/>\n<meta property=\"og:locale\" content=\"ko_KR\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"FINRA, \uace0\uc704\ud5d8 \uace0\uac1d \uad00\ub9ac \ubd80\uc2e4\ub85c \ub274\uc695 \uc99d\uad8c \ube0c\ub85c\ucee4\uc5d0 10\ub9cc\ub2ec\ub7ec \ubc8c\uae08 SanctionLab\" \/>\n<meta property=\"og:description\" content=\"\ub274\uc695\uc5d0 \ubcf8\uc0ac\ub97c \ub454 \uc99d\uad8c \ube0c\ub85c\ucee4 \ub51c\ub7ec\uc778 \ud0c0\uc774\uadf8\ub808\uc2a4 \ud30c\uc774\ub0b8\uc15c \ud30c\ud2b8\ub108\uc2a4(Tigress Financial Partners)\uac00 \uc790\uae08\uc138\ud0c1\ubc29\uc9c0(AML) \uaddc\uc815\uc744 \uc704\ubc18\ud574 \uae08\uc735\uc0b0\uc5c5\uaddc\uc81c\uccad(FINRA)\uc73c\ub85c\ubd80\ud130 10\ub9cc\ub2ec\ub7ec(\uc57d 1\uc5b54600\ub9cc\uc6d0)\uc758 \ubc8c\uae08\uc744 \ubd80\uacfc\ubc1b\uc558\uc74c.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.sanctionlab.com\/?p=19363\" \/>\n<meta property=\"og:site_name\" content=\"SanctionLab\" \/>\n<meta property=\"article:published_time\" content=\"2025-03-23T19:01:34+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2025-03-30T22:21:50+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.sanctionlab.com\/wp-content\/uploads\/2025\/03\/\uc2a4\ud06c\ub9b0\uc0f7-2025-03-13-110642.png\" \/>\n\t<meta property=\"og:image:width\" content=\"677\" \/>\n\t<meta property=\"og:image:height\" content=\"414\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"author\" 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