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AML Financial Crime Enforcement Cases

Opinion paper from regulatory expert Peter Oakes

A closer look at recent enforcement cases through the lens of senior management accountability.


Over the past 5 years, there has been a steady ramp in the level of AML enforcement activity. A recent report noted that financial intuitions globally have paid $26 billion US (€22bn) in fines for failures in money laundering and customer verification and sanctions since the global financial crash.

In this paper, we observe:

  • Senior management and AML/Financial Crime compliance
  • Criticisms of regulatory regimes and why management should take CDD deficiencies seriously
  • New CDD requirements and amendments in the 5th AMLD
  • Senior management and Beneficial Ownership

Download your free paper by entering your details now.



About Peter Oakes

Peter is an internationally recognised expert on fintech, central banking, regulatory supervision, enforcement, law and financial crime. A qualified lawyer, he has held numerous executive and non-executive directorships including currently at Susquehanna International Securities Limited and TransferMate Global Payments, and was previously an Executive Director and Chief Risk Officer at Bank of America Merchant Services Europe.

Peter is a Risk Advisor to a number of UK FCA regulated firms. Peter is a solicitor admitted in three international jurisdictions – Ireland, the United Kingdom and Australia.

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