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
- market manipulation
- Modern Slavery
- Money Laundering (ML)
- NPOs
- Offshore
- OHCHR
- Onboarding
- Organised crime
- Other
- Payments
- PEPs
- Proliferation
- Proliferation of WMD
- Public Officials
- Ransomware
- RegTech
- Risk
- robotics
- 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
- ASIC
- Atlantic Council
- AUSTRAC
- Austria FMA
- B20
- BAFIN
- BAFM
- Bank of England
- Basel
- BGC
- BIS
- BMA
- BoIJ
- 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
- DFSA
- 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
- GABAC
- GAFILAT
- Gambling Commission
- GASA
- 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
- IPO
- ISO
- J5
- JFSC
- JMLSG
- KoFIU
- KSA
- Law Commission
- Law Society
- MAS
- MENAFATF
- Met Police
- MONEYVAL
- NAO
- NASC
- Nasdaq Verafin
- Nature Needs More
- NCA
- NECC
- NED
- Netherlands FIOD
- Nice Actimize
- NYDFS
- OAG
- OCC
- OCCRP
- OECD
- OFAC
- OFSI
- OLAF
- OPBAS
- OSCE
- Other
- OTSI
- PNF
- PRA
- project CRAAFT
- PSR
- PwC
- RBI
- RUSI
- Sayari
- SEBI
- SEC
- SEPA
- SFO
- Singapore Police Force
- Spotlight on corruption
- SRA
- Sweden FI
- Swiss Federal Council
- Swiss OAG
- Tax Justice Network
- TFG
- TRACE
- TRACFIN
- Traffic
- Transparency International
- TRNC
- TRP
- UK Border Force
- UK Finance
- UK Govt
- UK Police Foundation
- UKACC
- UKPI
- 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
- Uzbekistan
- Venezuela
- Vietnam
US Treasury announces largest settlements in history with world’s largest virtual currency exchange Binance for violation of US AML and Sanctions laws
Binance will pay $4.3 billion in one of the largest corporate agreements in US history. Changpeng Zhao will pay a $50 million fine under a deal that requires him to step down as CEO where he pleaded guilty to violating the Bank Secrecy Act in federal court…
US DoJ announces charges against 11 individuals involved in the distribution of fentanyl and other deadly drugs across the Ohio Valley
All were charged in a conspiracy to distribute and possess with intent to distribute. Additionally, six defendants were charged with substantive possession with intent to distribute and nine were charged with interstate travel in aid of racketeering, and eight were charged in an international money laundering conspiracy…
US DoJ announces charges against three individuals for bribery
The charges stemmed from Susan Keim’s acceptance of bribes from Wilson in exchange for awarding purchase orders to Wilson’s company for selling parts and materials to a U.S. Army Garrison. The sentences reflect legal repercussions for corrupt activities within public…
EY experts provide their insights on the impact of ESG on sustainability-related choices within the insurance sector
The summary includes insights on how organisations can navigate and manage ESG-related risks effectively within the regulatory framework, which involve integrating sustainable practices, disclosure requirements, and compliance strategies…
Patisserie Valerie charges preview impact of new failure to prevent fraud offence
The recent Patisserie Valerie charges against four individuals provide a preview of the type of scenario in which companies could be investigated under the “new failure to prevent fraud offence” as well as the expanded test for corporate criminal liability…
US Federal Reserve Board has issued an enforcement action and fined New York’s Metropolitan Commercial Bank $14.5 million
The FRB alleges that the bank violated customer identification rules and has identified “deficiencies” in the bank’s third-party risk management with respect to its issuance of prepaid card accounts. The bank “received multiple reports indicating widespread fraud” relating to its prepaid card programme…
FCA fines Equifax Ltd £11m for role in one of the largest cyber-security breaches in history
Fine reflects the failure to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US. The breach allowed hackers to access the personal data of millions of people and exposed UK consumers to the risk of financial crime.
DWS to pay $25M to end US probe into greenwashing
DWS will pay $25 million to settle charges over misstatements regarding its environmental, social, and governance (ESG) investing and failures in policies designed to prevent money laundering. DWS Investment Management Americas made “concerning” misstatements…
US DoJ sentences former CFO of Russian natural gas company to more than seven years in prison for tax crimes
Mark Anthony Gyetvay of Naples, Florida, was sentenced today to 86 months in prison for a scheme to hide millions of dollars of income in undisclosed Swiss bank accounts and submitting a false filing with the IRS.
US DoJ charges three individuals convicted in $93M home health fraud and money laundering scheme
A federal jury in Miami convicted a Florida man and woman today for their roles in a conspiracy to defraud Medicare by billing over $93 million for home health therapy services that were never rendered
FCA fines ADM Investor Services International Limited £6.5M for serious financial crime control failings
The nature of ADMISI’s business and client base presented potentially high levels of money laundering risk because of its business model, the geographical location of its customers, the proportion of its business involving high-risk clients and because it had Politically Exposed Persons as clients.
SEC agreed $26M settlement with global advertising company to resolve FCPA -related charges
SEC announced that Clear Channel Outdoor Holdings Inc. agreed to pay more than $26 million to resolve charges that it bribed Chinese government officials to obtain outdoor advertising contracts in violation of the FCPA…