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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.

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Power in Transparency: Why Comprehensive KYC Protocols Matter
Power in Transparency: Why Comprehensive KYC Protocols Matter

Do you know who you’re doing business with? Organizations must have properly vetted security and identification processes in place to protect their business and clients, particularly to lay a solid foundation for future growth and success. Know Your Customer (KYC)...

Customer Due Diligence You Can Trust: iComplyKYC
Customer Due Diligence You Can Trust: iComplyKYC

Is your customer due diligence process set up for success? Ensuring the safety of digital commerce and virtual asset management have become two of the most important points of conversation when it comes to global securities, specifically when it comes to anti-fraud,...


Robust AML/CFT screening and monitoring for any type of payment, easily customizable to fit your back-end workflows.