Resources
FCA Fines Commerzbank for Failing to Comply with AML regulations
UK regulator Financial Control Authority fined major German bank Commerzbank over £37 million for failure to implement proper AML and KYC procedures
Digital Securities: 2020 & Beyond
Join our webinar to learn about the state of digital securities, and the benefits and pitfalls of structured financial instruments on public blockchains.
SEC Ruling Issued Against BitClave ICO
Unregistered $25.5-million ICO issuer BitClave ordered by the SEC to return all funds to investors after failing to register as a security
SPF, IMDA and MAS Block Unregulated Overseas Online Trading Platform
SPF, IMDA and MAS target AroTrade in response to consumer reported fraud and unreported incoming transactions from Singaporean investors
Out of the Filing Cabinet, Into the Cloud
Join iComply’s live webinar to learn key benefits, risks, and considerations of moving your onboarding procedures from manual paperwork to automated workflows.
BCSC Targets Yet Another Cryptocurrency Exchange
British Columbia Securities Commission adds Cryptec.io to the provincial Investment Caution List
Client Suitability in Wealth Management for Singapore Firms
Our latest expert insight with Rolf Haudenschild of Ingenia Consultants shares how to provide tailored portfolio recommendations with client suitability
SFC Reprimands and Fines Southwest Securities in Hong Kong for AML Breach
Hong Kong’s SFC reprimands and fines Southwest Securities Brokerage Ltd USD$5 million for breaches of anti-money laundering regulatory requirements
BCSC targets EU virtual asset platform i-Coin
The British Columbia Securities Commission issues regulatory warning against I-Coin, a European cryptocurrency trading platform
IIROC Imposes $250,000 Fine on Laurentian Bank Securities Inc.
The Investment Industry Regulatory Organization of Canada fines Laurentian Bank Securities Inc. US$250,000 for not using a transaction monitoring system
US SEC Charges Dropil and team for Fraudulent and Unregistered ICO
U.S. Securities and Exchange Commission (SEC) charges founders and issuer of Dropil, Inc. with securities fraud
BCSC Advisory Regarding Pegasus Global Trading Limited
BCSC (British Columbia Securities Commission) adds Pegasus Global Trading Ltd. to the province’s Investment Caution List
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We have settled in with your service and are very impressed. I have every confidence in iComplyKYC for the UK, where increasing pressure from regulators to not only improve AML compliance, but also to be able to demonstrate it.
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