Our extensive knowledge at your fingertips
Fines & Enforcements
This section includes initiatives by the FCA, ICO, Gambling Commission, SEC, US DoT among others.
Financial Conduct Authority (FCA)
Information Commissioner’s Office (ICO)
Gambling Commission
U.S Department of the Treasury – Penalties and Enforcement Information
U.S. Securities and Exchange Commission (SEC)
And many more…
Sections
Latest editions
Search
Topics
- Topics
- Accountability
- AML/CTF
- AML/CTF compliance programme
- Anti-corruption
- Artificial intelligence
- Asset Recovery
- Beneficial Ownership
- Biodiversity
- Blockchain
- Bribery & Corruption
- Bribes
- CDD
- Complex structures
- Confiscation & Freezing
- conflict minerals
- Conflict of Interest
- Correspondent Banking
- Corruption
- Counterfeiting
- Crime
- Cross-border finance
- Cryptoassets
- Cryptocurrencies
- Cybercrime
- Data Protection
- Deepfakes
- Democracy
- Digital assets
- Digitalisation
- Drug Trafficking
- EDD
- Enforcement
- Environmental crime
- ESG
- Ethics
- EU ML Directive
- FCPA
- Financial Crime
- Financial Inclusion & Literacy
- Financial Sanctions
- Fines & Enforcements
- FinTech
- FIU
- Fraud
- Gambling
- Greenwashing
- Human Rights
- Human Trafficking
- Illicit Finance
- Illicit Trafficking
- Information Sharing
- Integrity
- Intellectual property
- Investigations
- kleptocracy
- KYC
- Land justice
- Machine Learning
- Modern Slavery
- Money Laundering (ML)
- NPOs
- Offshore
- Onboarding
- Organised crime
- Other
- Payments
- PEPs
- Proliferation
- Proliferation of WMD
- Public Officials
- Ransomware
- RegTech
- Risk
- Sanctions
- Senior Managers & Certification Regime (SMCR)
- Shell Companies
- Source of wealth & funds
- Stablecoins
- Supervision
- Suspicious Activity Reports (SARs)
- Suspicious Transaction Reports (STRs)
- Tax
- Tax Evasion
- Technology
- Terrorist Financing
- Trade Finance
- Trafficking
- Transaction Monitoring
- Transfers
- Transnational crime
- Transparency
- Travel
- Unexplained Wealth Order
- Virtual Assets
- Virtual currencies
- Whistleblowing
- Wildlife crime
Industry
Organisation
- Organisation
- ABA
- AFME
- Afripol
- AMLA
- AMLP
- APPG
- ASC
- Asia Pacific Group on Money Laundering
- Atlantic Council
- AUSTRAC
- B20
- BAFIN
- BAFM
- Bank of England
- Basel
- BGC
- BIS
- BMA
- CBUAE
- CCAF
- CFATF
- Charity Commission
- Chatham House
- City of London Police
- CMA
- Companies House
- Corruption Watch
- Council of Europe
- Council of the EU
- CPA
- CPS
- CSSF
- DEA
- Department of Business
- DIT
- DRCF
- EBA
- EBF
- ECB
- EFCC
- EGBA
- Egmont Group
- EPPO
- ESA
- ESAAMLG
- ESMA
- EUDA
- Eurojust
- European Anti-Fraud Office (OLAF)
- European Commission
- European Council
- European Parliament
- European Union (EU)
- Europol
- FATF
- FBI
- FCA
- FCDO
- FCO
- FDIC
- Federal Reserve
- Fenergo
- FFIS
- FIAU
- FinCEN
- FINMA
- FINRA
- FINTRAC
- FIU
- FIU-IND
- FSA / FCA
- FSB
- FSC
- FSMA
- G20
- G7
- GAFILAT
- Gambling Commission
- GCFCC
- GFI
- GI-TOC
- GIABA
- Global Initiative
- Global Integrity
- Global Witness
- GRECO
- GRETA
- HKMA
- HKSFC
- HM Treasury
- HMCPSI
- HMRC
- Home Office
- House of Commons
- House of Lords
- ICAEW
- ICC
- ICE
- ICIJ
- ICO
- IDB
- IMF
- IMLIT
- Insurance Europe
- Interpol
- IOM FSA
- ISO
- J5
- JFSC
- JMLSG
- Law Commission
- Law Society
- MAS
- MENAFATF
- Met Police
- MONEYVAL
- NAO
- NASC
- NCA
- NECC
- NED
- Netherlands FIOD
- Nice Actimize
- NYDFS
- OAG
- OCC
- OCCRP
- OECD
- OFAC
- OFSI
- OLAF
- OPBAS
- OSCE
- Other
- OTSI
- PNF
- PRA
- project CRAAFT
- PSR
- RBI
- RUSI
- Sayari
- SEBI
- SEC
- SEPA
- SFO
- Singapore Police Force
- Spotlight on corruption
- SRA
- Swiss OAG
- Tax Justice Network
- TFG
- TRACE
- TRACFIN
- Traffic
- Transparency International
- TRNC
- TRP
- UK Border Force
- UK Finance
- UK Govt
- UKACC
- UN
- UNODC
- US BIS
- US DEA
- Us DoC
- US DoJ
- US DoS
- US Govt
- US Sec
- US Senate
- US Treasury
- USAID
- VISA
- Wall Street Journal
- WCO
- White House
- Wolfsberg
- World Bank
Jurisdiction
- Jurisdiction
- Afghanistan
- Andorra
- Asia
- Australia
- Austria
- Belarus
- Belgium
- Berlin
- Bermuda
- Botswana
- Brazil
- Bulgaria
- Canada
- Cayman Islands
- China
- Colombia
- Cyprus
- Czech Republic
- Denmark
- Estonia
- EU
- Finland
- France
- Germany
- Ghana
- Gibraltar
- Global
- Greece
- Guernsey
- Hong Kong
- India
- Iran
- Ireland
- Isle of Man
- Israel
- Japan
- Jersey
- Kenya
- Lithuania
- Malaysia
- Malta
- Mauritiania
- Mexico
- Middle East
- Monaco
- Myanmar
- Netherlands
- New Zealand
- Nigeria
- North Korea
- Norway
- Other
- Poland
- Romania
- Russia
- San Marino
- Singapore
- Slovakia
- Slovenia
- South Africa
- Spain
- Sudan
- Sweden
- Switzerland
- Turkey
- UAE
- UK
- Ukraine
- Uruguay
- US
- Venezuela
- Vietnam
HKMA fines Cathay United Bank over AML rules
The control deficiencies identified in the investigation relate to conducting on-going CDD and EDD in respect of high risk situations during the period between April 2012 and February 2016. CUBHK failed to establish and maintain effective procedures for carrying out its duties…
Gambling Commission fines Entain over AML failures
Entain Group is to pay £17 million for social responsibility and AML failures at its online and land-based businesses including ladbrokes.com, coral.co.uk and foxybingo.com. Additional licence conditions will also be added to ensure a business board member oversees an improvement…
FCA fines GIB for failings in its AML controls
The FCA has fined Ghana International Bank (GIB) £5,829,900 for poor AML and CFT controls over its correspondent banking activities. The FCA requires banks to do extra checks on their customers to reduce the higher risk of ML/TF…
SEC charges Tenaris over alleged bribe
SEC announced that Tenaris, a Luxembourg-based global manufacturer and supplier of steel pipe products, will pay more than $78 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) in connection with a bribery scheme…
Online gambling businesses face regulatory action
Gambling Commission fines two online gaming businesses a total of £675,000 in regulatory settlements after revealed social responsibility and anti-money laundering failures. Jumpman Gaming Limited which runs 243…
OFAC settlement with Newmont Corporation
OFAC announces settlement with Newmont Corporation, a multinational mining firm, in relation to violations of the Cuban Assets Control Regulations. OFAC determined that Newmont voluntarily disclosed the apparent…
CPS sentences individuals for bribery and corruption schemes
The CPS announced that a group of individuals and entities were sentenced in the Southwark Crown Court for their roles in a bribery scheme involving a senior manager for Coca Cola Enterprises UK Limited (CCE), with each person avoiding prison for their role in the scheme…
NYDFS fines MoneyGram for AML failings
NYDFS found that MoneyGram had failed to maintain an effective and compliant AML program during the relevant period and that the company also failed to exercise reasonable supervision…
UKGC fines 888 for social responsibility & ML failings
The UK Gambling Commission (UKGC) has imposed a fine of £9.4 million on 888 UK Limited for social responsibility and anti-money laundering failures. 888 UK Limited, which operates 78 websites including…
SEC charges $124 Million in Crypto Fraud Operation
SEC charged siblings with defrauding thousands of retail investors out of more than $124 million through two unregistered fraudulent offerings of securities involving a digital token called “Ormeus Coin.” They offered and sold it to investors on crypto trading platforms..
FCA fines Barclays Bank for oversight failings
The FCA censured Premier FX for failing to safeguard its customers’ money and seriously misleading its customers about the services it was authorised to provide. The FCA imposed a substantial financial penalty on…
FCA fines NatWest over AML failures
NatWest fined £264.8 million after failing to comply with account-monitoring requirements, becoming the first bank to be criminally convicted under the UK’s AML regulations. The ‘red flags’ that were reported included significant amounts…