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Penalties › Financial Crimes › Financial Services Industry

Cornerstone Research

CME Group Disciplinary Notices Held Steady in 2024 After Significant Jump in 2023

Cornerstone Research on

Disciplinary notices issued by the CME Group’s Market Regulation Enforcement team remained steady in 2024 after experiencing a significant increase in 2023, according to a new report by Cornerstone Research. The report,...more

Hogan Lovells

UK Public Authorities (Fraud, Error and Recovery) Bill: Banks and EMIs face detailed new information and account direct deduction...

Hogan Lovells on

Banks and EMIs will need to consider the impacts of proposed new requirements to comply with information notices and account direct deduction orders on their policies, procedures and controls. For information notices, this...more

Sheppard Mullin Richter & Hampton LLP

OCC and FinCEN Issue $200 Million in Penalties for BSA-AML Violations

Sheppard Mullin Richter & Hampton LLP on

On March 17, the OCC and FinCEN issued civil monetary penalties against a federal savings bank for “willfully” failing to meet minimum compliance program requirements and shoddy suspicious transaction reporting. The consent...more

Sheppard Mullin Richter & Hampton LLP

OCC and FinCEN Issue $9 Million in Penalties for BSA-AML Violations

Sheppard Mullin Richter & Hampton LLP on

On December 16, 2021, the Office of the Comptroller of the Currency (“OCC”) and the Financial Crimes Enforcement Network (“FinCEN”) issued civil monetary penalties against a Texas community bank for violations of the Bank...more

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