اف اكس ارابيا..الموقع الرائد فى تعليم فوركس Forex

Date: 05/05/2010 Type of action: Fines On 5 May 2010 the FSA imposed a financial penalty of £140,000 on Alpari (UK) Limited ('Alpari') in respect of breaches of Principle 3 of the FSA's Principles for Businesses ('Principle 3') between 8 September 2006 and 25 November 2008.

The breaches relate to failings in the adequacy of Alpari's anti money laundering systems and controls. Specifically, Alpari failed to:

1)carry out adequate risk assessments of the money laundering and financial crime risks that Alpari was exposed to;

2)resource its compliance and anti-money laundering area adequately, in line with the growth of Alpari;

3)screen customers against U.K. and global sanctions lists and politically exposed persons (PEP) lists;

4)have in place adequate customer due diligence procedures, in relation to customers from higher risk jurisdictions, at the account opening stage;

5)carry out adequate on-going monitoring of the business relationship with the customer; and

6)adequately train employees, on an on-going basis, in relation to financial crime and money laundering.

The Final Notice and the relevant press release can be found on the FSA website.

http://www.fsa.gov.uk/register/firmDiscHistoryDetails.do?discHistorySid=1872&sid= 167495