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2020066079904 Diane Daly CRD 2372551 AWC (2025-1752711603922).pdf

From February 2017 to December 2022, Daly failed to reasonably supervise Canaccord’s surveillance of its securities transactions in violation of FINRA Rules 3110 and 2010 and from at least October 2016 to December 2022 failed to develop and implement an anti-money laundering (AML) compliance program at Canaccord that was reasonably designed to achieve and monitor compliance with the requirements of the Bank Secrecy Act and its implementing regulations, in violation of FINRA Rules 3310 and 2010.

Ethan Hattendorf Comment On Regulatory Notice 25-07

The FINRA requirement to maintain at least half our work time in office, rather than working 100% remotely. It seems clear that we were able to function via a fully remote work environment during the COVID19 pandemic lockdown and the mandatory work in office is unnecessary. Moreover, the requirement to work in office increasingly feels antiquated and deleterious to many brokers' mental health and function. I would strongly encourage FINRA to rescind the mandatory in office requirements and allow agents who want to do so to remain fully remote.