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FCA Fines EFG Private Bank £4.2m

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The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers.

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SEC wins landmark insider trader ruling

The U.S. Securities and Exchange Commission was allowed to pursue a lawsuit against two former brokers who sought to upend how the regulator battles insider trading. But the victory may be short-lived.