AML compliance, anti-money laundering, Dear CEO letter, FCA, FCA warning, featured
0 Comments
All Annex 1 firms should assess their financial crime controls against the common weaknesses the FCA has found within the next six months.
Aegis Investments, AML compliance
0 Comments
Aegis Investments failed to conduct annual independent testing of the firm’s AML compliance program between 2011 and 2020.
AML compliance, fraud detection system, Huntli
0 Comments
The PayPugs-Huntli partnership solves the problem of obtaining a trusted fraud prevention system that doesn’t disturb customer experience.
AML compliance, Interactive Brokers
0 Comments
Andrew Feist – then Interactive Brokers’ AMLCO – failed to establish a reasonably designed AML program at the firm.
AML compliance, Hong Kong SFC, Mason Securities, SFC fine
0 Comments
Hong Kong’s SFC has imposed a fine of $3.6 million on Mason Securities Limited (MSL), formerly known as GuocoCapital Limited (GCL).
AML compliance, compliance officer, European Banking Authority
0 Comments
AML/CFT compliance officers need to have a sufficient level of seniority with powers to propose all necessary or appropriate measures.
AML compliance, KYC, Sumsub, video verification solutions
0 Comments
Sumsub has signed a number of deals recently integrating its technology with platform providers to Retail FX brokers.
AML compliance, C3, FIS
0 Comments
FIS AML Compliance Hub is the first in a new line of AI-based solutions from FIS for capital markets firms.
