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Industry News

August 3, 2026

FinCEN Assesses $125 Million Penalty Against UBS Financial Services Inc

August 3rd, 2026, “the Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) assessed a $125,000,000 civil money penalty against UBS Financial Services Inc. (UBSFS) for willful violations of the...
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July 29, 2026

Securities and Exchange Commission (SEC) fines Merrill Lynch $7.5 Million

On June 29th, 2026,” The Securities and Exchange Commission today announced settled charges against registered broker-dealer Merrill Lynch, Pierce, Fenner & Smith Incorporated for failing to file numerous Suspicious Activity...
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July 10, 2026

United Kingdom (UK) Financial Regulators Oversee Critical Third Parties

On July 10th, 2026, it was announced, “The Bank of England (the Bank), the Prudential Regulation Authority (PRA) and the FCA will start overseeing the first critical third parties (CTPs)...
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June 18, 2026

FinCEN, Agencies Propose Rule to Implement GENIUS Act Customer Identification Program Requirement

On June 18th, 2026, “the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN), together with the Office of the Comptroller of the Currency, the Board of Governors of...
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June 9, 2026

European Union (EU) New Anti-Money Laundering (AML) Framework -Complete Guide

June 9th, 2026, “The finalised package consists of four key legislative instruments: a new Anti-Money Laundering Directive (AMLD6), which strengthens the powers and responsibilities of national supervisory authorities and Financial...
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May 18, 2026

The Office of Foreign Assets Control (OFAC) fines Adani Enterprises $275 Million

On May 18th, 2026, “The U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC) today announced a $275,000,000 settlement with Adani Enterprises Limited (AEL), an Ahmedabad, India-based company.”...
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May 14, 2026

FINTRAC Fines Canada Inc.- Necosmart  $693,742 for AML/CFT Program Deficiencies

On May 14th, 2026, “Canada Inc., also operating as Necosmart, a money services business in Edmonton, Alberta, was imposed an administrative monetary penalty of $693,742.50 on March 27, 2026, for...
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May 5, 2026

FINTRAC imposed a monetary penalty of $51,562 on Birks Group Inc

On May 5th, 2026, “Birks Group Inc., also operating as Birks, a dealer in precious metals and precious stones with retail locations across Canada, was imposed an administrative monetary penalty...
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May 5, 2026

FINTRAC imposes a $42,075 monetary penalty on VersaBank

May 5th, 2026, VersaBank, headquartered in Ontario was imposed an administrative monetary penalty of $42,075 on February 23, 2026, for committing 2 AML/CFT Compliance violations. To Access full article: Click...
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