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January 2021 Regulatory Updates

Feb 2, 2021 | Compliance Updates, iComply Insights

Regulatory Actions and Updates from Around the Globe

Enforcement Highlights – January 2021


United States


  • Fund manager at MG Capital Management real estate fund was charged by the SEC with misappropriating $7 million from retail investors.


  • The SEC charged Deutsche Bank AG with violations of the Foreign Corrupt Practices Act (FCPA) due to a lack of sufficient internal accounting controls. The bank agreed to pay $43 million in disgorgement and interest.




Hong Kong:


Regulatory Updates


An Austrian startup building an app for trading in security tokens became the first fintech company to be admitted to Austria’s Financial Market Authority (FMA) regulatory sandbox.


FMA announced that it has granted registration to 18 virtual asset providers since tightening anti-money laundering regulations in January 2020.



Past events:

Mergers & Acquisitions – The Future of Enhanced Due Diligence


Missed our January 2021 Fireside Chat? Watch the full event where guest panelists discuss the trends for enhanced due diligence within mergers and acquisitions for both buyers and sellers, and the importance that proper due diligence plays in successful M&A transactions.

learn more

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Q3 2022 Regulatory Updates
Q3 2022 Regulatory Updates

Regulatory actions and industry updates from financial authorities and regulators around the globe in Q3 2022

Protecting Digital Assets with KYC
Protecting Digital Assets with KYC

Are your KYC protocols set up to protect your customers and your digital assets? With the digital world constantly evolving and new assets entering the market, ensuring that your due diligence and identity verification platforms are up to current regulations is...

Common Challenges Facing KYC Protocols
Common Challenges Facing KYC Protocols

Do you have the right processes and protocols in place to protect against fraud, money laundering, and the many other risks that come with operating in today’s market? Know Your Customer and Customer Due Diligence, otherwise known as KYC and CDD, play a major role in...