By Maya Lester KC & Michael O’Kane

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By Maya Lester KC & Michael O’Kane

US SEC publishes AML/CFT and sanctions risk alert

8 August 2023

US SEC publishes AML/CFT and sanctions risk alertAevanStock_Shutterstock

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...

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Sanctioning States

By Michael O'Kane

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 & Peters and as a prosecutor...

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