Discover how Arian Financial LLP’s AML failings led to a £289K FCA penalty in this Regulatory Files episode.

Our experts dissect the case, revealing weak due diligence, poor transaction monitoring, and systemic control lapses that enabled fraudulent trading.

We explain why no personal liability was imposed and share actionable insights to fortify your AML framework. Tune in for a deep dive into transforming regulatory challenges into strategic advantages. A must-listen for compliance, legal, and GRC professionals.

For more resources and references of this episode visit www.compliaai.com/regulatoryfiles/arianfinancials.

AI Disclosure: Some elements of production such as transcription, editing, and content structuring have been assisted by AI tools. Every segment was reviewed and finalized by our team to ensure accuracy and integrity.

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Sources

Financial Conduct Authority, 2025.Final Notice: Arian Financial LLP.https://www.fca.org.uk/publication/final-notices/arian-financial-llp-2025.pdf

Financial Conduct Authority, n.d.Finalised Guidance FG18/05.https://www.fca.org.uk/publication/finalised-guidance/fg18-05.pdf

Financial Conduct Authority, n.d.FCA Handbook – Financial Crime: A Guide for Firms (FCTR).https://www.handbook.fca.org.uk/handbook/FCTR.pdf

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