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Results: 11-20 of 700

Deutsche Bank branch in Dubai fined for AML, client onboarding and governance weaknesses
  • Katten Muchin Rosenman LLP
  • United Arab Emirates
  • April 19 2015

The Dubai Financial Services Authority fined Deutsche Bank AG Dubai the equivalent of US $2.3 million (UAE Dirham 8.4 million) for not meeting its


Financial action task force publishes updated list of deficient jurisdictions
  • Katten Muchin Rosenman LLP
  • Global
  • March 6 2015

On February 27, the Financial Action Task Force (FATF), which is an inter-governmental body established to set standards and promote effective


Previously unnamed middleman named in SEC insider trading suit; he allegedly ate material evidence
  • Katten Muchin Rosenman LLP
  • USA
  • September 21 2014

Remember my article a few months ago regarding the managing clerk at a highly regarded law firm who passed on insider tips to a stockbroker through


Accounting firm sanctioned for allegedly removing adverse information from report filed with regulator regarding client’s non-compliance with AML requirements
  • Katten Muchin Rosenman LLP
  • USA
  • September 1 2014

PriceWaterhouseCoopers was fined US $25 million and suspended from accepting certain consulting engagements at financial institutions overseen by the


FFIEC releases revised BSAAML Examination Manual
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

On November 26, the Federal Financial Institutions Examination Council (FFIEC) released the revised Bank Secrecy ActAnti-Money Laundering (BSAAML


FCA sanctions Bank of Beirut, former compliance officer and former internal auditor for providing misleading information regarding AML systems and controls remediation
  • Katten Muchin Rosenman LLP
  • USA
  • March 8 2015

The Bank of Beirut was fined GBP 2.1 million (approximately US $3.16 million) by the Financial Conduct Authority for not fixing issues related to its


SEC sues former principals of sanctioned broker-dealer for causing firm not to pay agreed-upon fine
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

Through an action in a federal court in New Jersey, the Securities and Exchange Commission sought to recover a previously agreed-upon fine against


HSBC Swiss private banking unit penalized US $12.5 million by SEC for providing services to US clients while being unregistered
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

The Securities and Exchange Commission sanctioned HSBC Private Bank (Suisse) SA US $12.5 million for providing certain broker-dealer and investment


European Council approves strengthened EU anti-money laundering rules
  • Katten Muchin Rosenman LLP
  • European Union
  • April 24 2015

On April 20, the European Council of Ministers adopted its version of new rules aimed at preventing money laundering and terrorist financing in the


SEC issues third-annual Dodd-Frank Whistleblower Program Report
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

On November 17, the Securities and Exchange Commission released its third annual Dodd-Frank Whistleblower Program Report. The Dodd-Frank Wall Street