A £1m fine for broker shows potential shortcomings with group-wide controls and surveillance, says expert – OUT-LAW.com

Posted January 31st, 2018 in financial regulation, fines, news by sally

‘A fine served on an online broker shows that financial firms should not rely solely on group-wide controls and surveillance systems to pick up on suspicious transactions, an expert has said.’

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OUT-LAW.com, 30th January 2018

Source: www.out-law.com