The broker-dealer failed to properly monitor more than 61,500 foreign currency wires after previously settling similar charges in 2018.
Monitoring
Hundreds of firms in the sector took part in the FCA review and shared details about their business models and risk identification and control systems.
The FCA is auditing how supervised firms manage their compliance systems – we take a look at good and poor practices.
The French Data Protection Authority’s work during 2025 includes a record €325m fine on Google.
AI in care and monitoring devices for patient care at home are some of the supervisory priorities for Datatilsynet this year.
Wall Street’s largest bank has been accused of delays in SAR submissions in relation to anti-money-laundering and terrorist financing obligations.
Panelists emphasized that the healthcare programs your organization wants to offer will get better results when closely monitored and constantly improved.
One-third of UK managers say their organizations are monitoring employees’ online activity on employer-owned devices.