All posts tagged "DoJ"
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835EnforcementUS OCC Fines JPMorgan for Weak Controls Over Fiduciary Activities
The deficiencies identified by the OCC constituted unsafe or unsound practices that were part of "a pattern of misconduct", says the consent order.
November 29, 2020 -
2.2KAML / KYCGoldman Resolves Remaining 1MDB Charges for $2.9bn
Under the coordinated resolution, Goldman will pay $606mn in disgorgement and more than $2.3bn in penalties to authorities in the US, UK, Hong Kong and Singapore.
October 23, 2020 -
792AML / KYCGoldman US Penalty Over 1MDB to be Announced ‘Within Days’
Goldman Sachs Group has reportedly reached a more than $2bn settlement with the US DOJ over its role in Malaysia’s 1MDB scandal.
October 21, 2020 -
1.7KAML / KYCUS Justice Dept Publishes Cryptocurrency Enforcement Framework
The framework provides a detailed threat overview, cataloging the three categories into which most illicit uses of cryptocurrency typically fall.
October 13, 2020 -
1.7KAML / KYCRegTech Asia 2020: The Future of AML & Fraud Case Management
How can current practices in AML and fraud case management and investigations be enhanced with technology and data for better, faster outcomes?
October 12, 2020 -
1.1KFeatureISDA to Launch IBOR Fallbacks Supplement, Protocol on 23 Oct
Widespread adoption is a tangible step financial and non-financial firms can take to avoid disruptions in derivatives markets and mitigate risks at a system-wide level, the FSB says.
October 11, 2020 -
852International
ISDA Receives Positive Business Review Letter from DOJ
The letter brings ISDA a step closer to publishing a supplement and related protocol that will make IBOR fallbacks in derivatives a reality.
October 6, 2020 -
1.3KEnforcement
US Authorities Settle JP Morgan Spoofing Charges for $920m
The settlement will fully resolve investigations carried out by the DOJ, CFTC and SEC into trades made over nearly ten years.
October 1, 2020 -
616AML / KYC
DOJ Charges Three for North Korea Sanctions Breaches
Two North Koreans and one Malaysian allegedly used front companies to deceive US banks into processing transactions for North Korean customers.
September 16, 2020 -
1.3KAML / KYCUS Recovers $60m in 1MDB Funds from Najib Razak’s Stepson
The assets recovered include luxury real estate in Beverly Hills, New York and London, a Kentucky maintenance company, and a 1927 promo poster for the film “Metropolis”.
September 6, 2020
