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FCA fines broker over failures to spot ‘suspicious’ trades
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A UK broker has been hit with a £642,400 fine over failures in its anti-money laundering controls, which failed to spot potential financial crime and tax fraud.
The FCA fined Sunrise Brokers after it found deficiencies in identifying and reducing the risk of facilitating fraudulent transactions and money laundering, including a number of “suspicious” trades.
The...
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