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Keyword: Know your client

142 results found
Crypto currency

BitMEX sanctioned in U.S. for anti-money laundering, KYC violations

Business banking

Earlier decision requiring clearing broker to produce records overturned

Tread carefully

AIMA survey finds crypto funds struggle to get basic banking services

consultation discussion

CCIR, CISRO propose new guidance on the design, distribution of seg funds

Crypto money

OSC sweep uncovered issues with firms' account opening, client limits

Compliance sweep in 2022 found WealthBar wasn't meeting new standards

Fraud

Leverage strategy deployed on the down low resulted in hefty financial losses

new rules

Approval regime, proficiency are among areas covered in latest consultation

Computer with financial growth

Regulator details vision for retail funds that hold long-term assets

Business lawyer team. Working together of lawyer in the meeting.

Bank failed in its dealings with customers facing financial distress