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Results: 1-10 of 138

FSA fines bank for AML correspondent banking failings

  • Dentons
  • -
  • United Kingdom
  • -
  • August 10 2012

FSA has issued its first fine relating to AML requirements and correspondent banking

How might the proposed new senior managers and certification regime for individuals have affected accountability for foreign exchange manipulation?

  • Dentons
  • -
  • United Kingdom
  • -
  • December 8 2014

Shakespeare's often misquoted suggestion, "first kill all the lawyers", still sells very successfully on mugs and T-shirts. It is likely that had he

Financial crime controls

  • Dentons
  • -
  • United Kingdom
  • -
  • November 19 2014

In November 2014, FCA published the results of two thematic reviews into how firms manage their financial crime risks, together with proposed

Consumer credit FCA publishes final detailed rules 2014 march

  • Dentons
  • -
  • United Kingdom
  • -
  • March 3 2014

The UK Financial Conduct Authority has published its feedback statement and final form rules on the detailed CC regulatory regime that takes effect

Financial Regulatory Developments 23 January - Parliament

  • Dentons
  • -
  • United Kingdom
  • -
  • January 23 2015

The House of Lords EU Committee has published an exchange of letters with Treasury in which it criticised Treasury's proposal to challenge the legal

Complying with sanctions laws: JMLSG takes action

  • Dentons
  • -
  • United Kingdom
  • -
  • June 21 2010

Regulators are keeping up the pressure on financial institutions to comply with all anti-financial crime laws

The long arm of FSA

  • Dentons
  • -
  • United Kingdom
  • -
  • August 8 2012

Recent actions by FSA against firms with overseas head offices, and approved persons working in those firms, should sound warning bells to all FSA-authorised firms with an international client base for whom a UK presence serves greater global needs

FCA fines again for AML breaches

  • Dentons
  • -
  • United Kingdom
  • -
  • August 16 2013

FCA has fined Guaranty Trust Bank (UK) Limited £525,000 for failings in anti-money laundering (AML) systems and controls. It visited the bank, a

FSA fines bank £8.75 million for anti-money laundering failures

  • Dentons
  • -
  • United Kingdom
  • -
  • March 30 2012

As part of its thematic review into banks’ management of high-risk money laundering situations, FSA identified deficiencies in the documentation Coutts held about its high-risk customers, including politically exposed persons (PEPs

FSA bans mortgage broker

  • Dentons
  • -
  • United Kingdom
  • -
  • May 22 2009

FSA has banned another mortgage broker for fraud