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Latest News
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Scottish government to ban use of ‘non-corporate’ messaging apps on official devices
Civil servants and ministers banned from using messaging services such as WhatsApp.
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OFAC fines firm for sanctions lapses, failure to use technology properly
The NJ-based supply-chain logistics firm was charged because several subsidiaries’ brokerage management systems hadn’t yet been incorporated into C.H. Robinson’s system.
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FINRA disciplinary action update 2024/48
Disciplinary decisions issued December 7 – 13, 2024.
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Finnish regulator fines three individuals for late notifications
The delays in transaction reporting ranged from two months to almost a year.
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FCA work in review: December 2-11, 2024
Our at-a-glance guide to recent FCA activity.
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ASIC roundup: serious governance failures, and Kraken operator to pay A$8m
The Australian Securities & Investments Commission’s latest actions and news, December 9 – 13, 2024.
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FINTRAC cites Exchange Bank of Canada with AML failures
Monitoring and reporting shortcomings included not submitting SARs where there were reasonable grounds to suspect transactions were related to money laundering or terrorist financing.
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FINRA disciplinary action update 2024/47
Disciplinary decisions issued November 30 – December 6, 2024.