Case Summary

INSTITUTIONAL ADVISORY SERVICES GROUP NFA 08BCC00030 NFA ID: 0245008 Respondent/Effective Date Summary  NFA ID Respondent Effective Date  0245008 INSTITUTIONAL ADVISORY SERVICES GROUP 03/31/2009 Rule Summary  NFA ID Respondent Rule Type  0245008 INSTITUTIONAL ADVISORY SERVICES GROUP • C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM Committee Summary  NFA ID Respondent Committee  0245008 INSTITUTIONAL ADVISORY SERVICES GROUP • BUSINESS CONDUCT COMMITTEE Action Summary  NFA ID Respondent Action Types  0245008 INSTITUTIONAL ADVISORY SERVICES GROUP • GENERAL CONDUCT Penalty/Event Summary  NFA ID Respondent Penalty/Event Event Date  0245008 INSTITUTIONAL ADVISORY SERVICES GROUP • FINE $12500 03/16/2009 Narrative Summary Narrative for 0245008 - INSTITUTIONAL ADVISORY SERVICES GROUP **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.** COMPLAINT: On December 12, 2008, NFA issued a Complaint charging IASG with failure to implement an adequate AML program. DECISION: On March 16, 2009 IASG was ordered to pay a $12,500 fine.   Case Documents Summary  NFA ID Respondent Document Type  0245008 INSTITUTIONAL ADVISORY SERVICES GROUP COMPLAINT  0245008 INSTITUTIONAL ADVISORY SERVICES GROUP DECISION