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Ongoing Monitoring

JPMorgan Hit with $348M Fine for Trading Oversight Failures

JPMorgan (JPM) faces a hefty fine of $348.2 million from the Federal Reserve and the Office of the Comptroller of the Currency (OCC) for inadequate monitoring of trading activities...

BaFin Appoints Special Monitor at Deutsche Bank’s Postbank Unit to Address Customer Service Concerns

Germany's financial regulator, BaFin, has appointed a special monitor at Deutsche Bank to oversee...

European Commission Issues Guidance on Enhanced Due Diligence to Counter Russia Sanctions Circumvention Risks

On September 7, 2023, the European Commission released long-awaited guidance on implementing enhanced due...

UK Government Initiates FCA Review of Politically Exposed Person (PEP) Risk Management Guidelines

In July 2023, the UK government requested the Financial Conduct Authority (FCA) to review...

Goldman Sachs’ Transaction Banking Division Ceases Onboarding Riskier Fintech Clients Amidst Regulatory Concerns

A division of Goldman Sachs' transaction banking business has reportedly stopped signing riskier fintech...

Wirex partners with Sumsub for Transaction Monitoring, Travel Rule, and KYC solutions

Wirex has partnered with Sumsub to incorporate Transaction Monitoring, Travel Rule compliance, and KYC...

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