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By Associated Press, Updated: Monday, May 2, 1:16 AM
http://www.washingtonpost.com/business/dubai-market-regulator-fines-e-trade-200k-for-alleged-gaps-in-anti-money-laundering-system/2011/05/01/AFCLPgSF_story.html
DUBAI, United Arab Emirates — A Dubai market regulator has fined a division of online discount broker E-Trade Financial at least $200,000 over what it described as deficiencies in its anti-money laundering system.
The Dubai Financial Services Authority said Sunday the Dubai branch of E-Trade Securities agreed to pay the fine. It faces another $100,000 in penalties if it fails to take steps to address the financial watchdog’s concerns.
The DFSA says a 2010 assessment found E-Trade failed to obtain sufficient documentation on the source of clients’ funds and did not have adequate procedures to address clients’ money laundering risk, among other concerns.
E-Trade said in an emailed statement it is cooperating fully and is “pleased to be working toward a resolution.”
Copyright 2011 The Associated Press. All rights reserved. This material may not be published, broadcast, rewritten or redistributed.