On Jul. 11, UK GC issued penalty for AML, social responsibility failures. Relates to money laundering / social responsibility failures by operator Casino 36. UK GC investigation revealed the operator had failed to ensure adequate customer enhanced due diligence, source of funds, source of wealth checks for 33 customers. During the relevant period, from Nov.…
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MSRB Advertising MIA, Dealers
On Jan. 28, 2019, MSRB proposed rule to extend effective date of advertising rule. Extend initial effective date of Feb. 7, 2019, to be within 6 months of MSRB notice. Will announce new date within 60 days of publication of rule in the federal register.
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