Diane Daly
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/16/2025: 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. Daly is suspended in all principal capacities and as an AMLCO for 12 months, required to requalify by examination before registering in any principal capacity, and fined $10,000.
Reference 2020066079904data-portal.finra.orgfinra.org
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