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AML

SFC-logo-office

SFC regulator announced AML and fraud controls priorities

08/12/2016(0)
The Securities and Futures Commission (SFC) today relaunched its Enforcement Reporter as a biannual publication which aims to provide the market with updates on the SFC’s key enforcement priorities ... Read More
dfs-investigation

Bank fined $215 Million by DFS for violating Anti Money Laundering Laws

07/11/2016(0)
DFS Investigation Uncovers Intentional Actions to Obscure U.S. Dollar Clearing Transactions, Including Counterfeit and Falsified Invoices involving China and Russia and Omission of Information Regarding Possible U.S. Dollar Trades ... Read More
FCA-logo

FCA fines Sonali Bank for serious anti-money laundering systems failings

12/10/2016(0)
The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. ... Read More
FCA-logo

FCA Research into the issue of de-risking

25/05/2016(0)
The Financial Conduct Authority has issued a press release to make publish a research regarding the issue of de-risking. Below is the announcement as published from FCA: The FCA, ... Read More
finra-hdqrtrs_0

FINRA Sanctions Cantor Fitzgerald & Co. $7.3 Million for Selling Billions of Unregistered Microcap Shares, and for Related Supervisory and AML Violations

22/12/2015(0)
Trader and Supervisor Suspended and Fined The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Cantor Fitzgerald & Co. $6 million and ordered disgorgement of nearly ... Read More
Anti Money Laundering

FinCEN named FBME Bank Ltd as a foreign financial institution of primary money laundering

25/07/2014(0)
On July 17 FinCEN issued a press release taking action to Protect U.S Financial System. On that date, FinCEN named FBME Bank, which transacts 90 percent of its global ... Read More
onestopbrokers-Regulators

CySec: updated form on the prevention of AML

24/03/2014(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority has released the updated Monthly Prevention Statement for the prevention of AML . The form can be found ... Read More
Broker Cyprus TopFX