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May

17

France Earns FATF’s Highest Efficacy Scores to Date, Surpassing Britain

Roman Abramovich’s $120 million Riviera mansion as photographed on Friday, April 13, 2001. France tops the list of nations with effective AML rules but luxury properties still draw funds of questionable origin into the country. (Getty Images)

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Legs & Regs

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Enforcement Actions

The U.S. Securities and Exchange Commission issued a cease-and-desist order against the St. Louis, MO-based brokerage firm that requires it to pay a $7 million fine to settle charges related to failing to file at least 34 suspicious activity reports between April 2017 and October 2021.
The U.S. Justice Department outlined that the New York, NY-based registered investment adviser pleaded guilty to securities fraud and agreed to pay a criminal fine of approximately $2.3 billion, more than $3 billion in restitution to the victims, and to forfeit approximately $463 million.