Professional Services Sector Penalties
3 reported AML enforcement actions totalling approx. $1.1m. Totals are approximate US dollar equivalents (£1 ≈ $1.27, A$1 ≈ $0.66). Back to full tracker.
UK Law Firm (SRA Action)
£233k
Failings in client due diligence and source of funds checks for property transactions.
UK Auction House (HMRC Action)
£150k
Failure to register with HMRC for AML supervision and conduct required due diligence checks.
Multiple UK Estate Agencies (HMRC Action)
£500k+
Multiple firms fined for failure to register for AML supervision and inadequate customer due diligence.
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