Anonymised Anti-Money Laundering (AML) case studies, to assist members in reviewing AML policies and procedures, are available on our enforcement notices page – click here.

Enforcement Notices

Disciplinary notices

This section details disciplinary notices against IPA members for the past three years.

2021

2020

2019

2018


Anti-Money Laundering Case Studies

We have prepared some anonymised case studies that are examples of non-compliance with the 2017 Money Laundering Regulations by members, which did not result in a financial or non-financial penalty being levied against a member. These examples arose either from inspection visits or complaints, where the issue was dealt with via an Advisory Notice, which requires a member to take remedial action to correct, amend or update an Anti-Money Laundering policy or procedure, or from where a matter was considered by the IPA’s Regulation & Conduct Committee (R&CC) and the R&CC considered that no penalty was to be applied.

Click here to view the case studies.