The Financial Industry Regulatory Authority said Monday it fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering and supervision violations.
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Credit Suisse Securities (USA) LLC agreed Monday to pay $4.25 million for submitting deficient information to the SEC over a two-year period about trades by customers, commonly referred to as “blue sheet data.”
We have already looked at some of the common pitfalls of modern due diligence, from the brute force open-source intelligence (OSINT) approach of Google searching to the over-reliance on manually curated watchlists.
[…] to none in the remaining 20. This latter undistinguished group represents 15% of world trade and includes G8 members Canada, Japan and France. The numbers speak for themselves, but the underlying question is why, after a dozen years, so many governments that committed to criminalize the use of bribes to get business have […]
Anonymous companies have attracted much attention in the past couple of years, and for good reason. These companies are used to facilitate a number of crimes, including corruption, money laundering and the trafficking of arms, drugs and humans.
[…] increased their enforcement, only seven countries out of 37 reviewed made the list of active enforcers and this number has not changed since 2009. According to TI, for the Convention to reach the tipping point, there needs to be active enforcement in six to ten additional countries. Active enforcement of the Foreign Corrupt Practices […]
[…] announced his resignation. Santander said he’ll receive more than $900 million as part of his exit, according to the New York Times. Most of that payment is for about 10 percent of the consumer business that Dundon held. The NYT’s report said the consumer unit has “faced regulatory problems, including federal investigations into its […]
For the tenth year in a row, Transparency International (TI) has assessed enforcement of the OECD Anti-Bribery Convention (the Convention) and the results are disheartening.
A 47-count indictment was unsealed early Wednesday morning in federal court in Brooklyn, New York, charging 14 defendants with racketeering, wire fraud and money laundering conspiracies for a 24-year corruption scheme at the heart of international soccer.