In July 2023, the Division of Examinations, a division within the SEC, published a risk alert on compliance of broker-deals with AML/CFT and sanctions requirements, observing that there was a lack of internal controls for: following up on potential matches with the sanctions lists and documenting the outcome of such follow-ups; performing periodic or event-based screening of existing clients or …
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Michael is Senior Partner at Peters & Peters Solicitors LLP. He has acted in many of the most high profile and sensitive business crime cases of the last 25 years, at Peters &...
United States