Getting The Deal Through


Results 1 to 5 of 12

Large penalties imposed in the US for record keeping failures: A reminder of recording obligations

China, European Union, Hong Kong, United Arab Emirates, United Kingdom, USA - November 17 2022 On 27 September 2022, the U.S. Securities and Exchange Commission imposed fines totalling more than $1.1 billion on 15 broker-dealers and one…

Philip Clarke, Fran Legg, Katherine Liu

Enforcement action over AML failings by Wise Nuqud Ltd - key lessons and international context

Asia-Pacific, European Union, France, Middle East, Singapore, United Arab Emirates, United Kingdom - October 7 2022 On 25 August 2022, the Financial Services Regulatory Authority ("FSRA") of the Abu Dhabi Global Market ("ADGM") issued a final notice (the "Final…

Chris Bailey, Philip Clarke, Colin Jarraw, Viviane Tse

Snapshot: asset confiscation in United Kingdom

United Kingdom - October 3 2022 A Q&A guide to confiscation in United Kingdom, covering the legal framework, secondary proceeds, third-party ownership, value-based confiscation, using confiscated property to settle claims and more.

Harriet Campbell, Ros Prince, Alan Ward

Snapshot: civil asset recovery in United Kingdom

United Kingdom - October 3 2022 A Q&A guide to civil asset recovery proceedings in United Kingdom.

Harriet Campbell, Ros Prince, Alan Ward

Practical regulatory steps for challenger banks

European Union, United Kingdom - August 24 2022 Earlier this year, the FCA published its findings of a review it conducted in 2021 of the financial crime controls of six challenger banks…

Alex Logier