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https://www.hubbis.com/news/mirabaud-sanctioned-for-severe-anti-money-laundering-failures
Swiss bank Mirabaud has been found in serious violation of anti-money laundering regulations by the Swiss Financial Market Supervisory Authority (Finma), resulting in a series of corrective actions impacting the bank's governance and internal control systems. A comprehensive review of all client relationships has also been mandated.
Following an investigation, Finma criticized Mirabaud for inadequate examination and documentation of the economic backgrounds of client relationships and transactions. These proceedings, initiated in 2021 and concluded in mid-2023, revealed significant lapses in compliance with anti-money laundering obligations.
Mirabaud resisted the public disclosure of the findings, but the Swiss Federal Supreme Court recently dismissed the bank's appeal, allowing Finma to proceed with publication. The ruling became effective in August 2023, though the investigation had already confirmed that the bank's issues centered around a complex client structure, reportedly linked to a deceased businessman accused of tax evasion.
Finma highlighted that Mirabaud managed significant assets related to these business relationships, and the bank failed to address warning signs of potential money laundering risks dating back to 2018. Despite obligations to investigate questionable transactions or client relationships from 2016 onwards, the bank's organizational and risk management systems were deemed insufficient.
In response, Finma has imposed strict measures, requiring Mirabaud to strengthen its anti-money laundering framework, governance, and internal controls. These actions are monitored by an independent auditor, and the bank must review and retroactively document all high-risk transactions from 2018 to 2022.
Mirabaud is temporarily prohibited from onboarding clients with high money laundering risks and is barred from engaging in activities that could elevate operational risks. Additionally, the bank must return 12.7 million francs in unlawfully earned profits, and enforcement proceedings against certain individuals are ongoing. While the customer involved was not officially named, reports suggest the case may be linked to the late U.S. businessman Robert Brockman.