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Non-registration with AML system to invite Dh5m fines, business closure

The UAE has rolled out an AML drive to ensure a compliance rate of 70 per cent of the registration requirement.

Khaleej timesUnited arab emiratesMohamed janahiIssac johnAl hosaniSafeya al safiAhmed al hosaniMoney laundering control departmentMinistry of economyFinancial action taskMoney laundering departmentCertificates of origin departmentSecurity councilAnti money laundering departmentInformation unit systemSuspicious transaction reports

Broker-Dealer Agrees to $1 5 Million Settlement for Failing to File Suspicious Activity Reports Related to Cybercrimes | Faegre Drinker Biddle & Reath LLP

On May 12, 2021, the Securities and Exchange Commission (“SEC”) settled charges against GWFS Equities, Inc. (“GWFS”), a Colorado-based registered broker-dealer and affiliate of Great.

United statesUnited states department of the treasuryGreat west life annuity insurance companyEquities incExchange commissionFinancial crimes enforcement network finFaegre drinker biddle reathSecurities exchangeBank secrecy actFaegre drinker biddleGreat west lifeAnnuity insurance companySuspicious activity reportsSecurities exchange actFinancial crimes enforcement networkFinancial institutions

Scared Of Your Clients Involvement With Cryptocurrency? | McGlinchey Stafford

Cryptocurrency, and its most-noted asset Bitcoin, has been breaking into the mainstream press. While most lawyers have heard terms like “blockchain” and probably even know a few people.

United statesKenneth rhuleMcglinchey staffordLarry harmonKais mohammadUnited states department of justiceBank secrecyOffice of foreign asset controlMoney services businessesBitclub networkUs department of treasuryUnited states departmentForeign asset controlSuspicious activity reportsGovernment worriedBank secrecy act

FINRA Reminds Broker-Dealers of their Obligations to Safeguard Customer Information and to Build Controls Designed to Protect Customers from Fraud | Bryan Cave Leighton Paisner

Key Takeaways: ..According to FINRA, the number of reported instances involving broker-dealer fraudulent account takeovers (ATO) and related theft is on the rise. .

Money laundering compliance programCustomer identification programBank secrecyMember firm continued regulatory obligationsShort message serviceKey takeawaysOnline banking creates new challengesRegulatory noticeKnow your customerCustomer account informationAnti money laundering compliance programBank secrecy actSuspicious activity reportsAdvisor considerationsபணம் சலவை இணக்கம் ப்ரோக்ர்யாம்வாடிக்கையாளர் அடையாளம் ப்ரோக்ர்யாம்

SEC Extracts AML Settlement From Broker-Dealer Based on Alleged Failure to Comply with Five Essential Elements of SAR Filings Regarding Cyber Crime | Ballard Spahr LLP

Action Highlights that Even Sophisticated Companies Serious about Compliance are not Immune from AML Enforcement – and the Importance of Cooperation When Cutting a Deal.

New yorkUnited statesExchange commissionLife annuity insurance company greatEven sophisticated companies seriousBallard spahrEquities incBank secrecy actCooperation when cuttingExchange actSuspicious activity reportsGreat west lifeAnnuity insurance companyRelevant periodUnited states treasury departmentFinancial crimes enforcement network

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