AML compliance, featured, FINRA, Redbridge Securities
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Redbridge Securities LLC has agreed to pay a fine of $475,000 as a part of a settlement with FINRA.
AML compliance, anti-money laundering, Dear CEO letter, FCA, FCA warning, featured
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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
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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
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The PayPugs-Huntli partnership solves the problem of obtaining a trusted fraud prevention system that doesn’t disturb customer experience.
AML compliance, Interactive Brokers
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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
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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
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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
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Sumsub has signed a number of deals recently integrating its technology with platform providers to Retail FX brokers.
AML compliance, C3, FIS
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FIS AML Compliance Hub is the first in a new line of AI-based solutions from FIS for capital markets firms.
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