EFG Capital International

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2025: Between May 2018 and August 2022, EFG violated FINRA Rules 3310(a) and 2010 by failing to establish and implement policies and procedures for its AML compliance program that could be reasonably expected to detect and cause the reporting of suspicious transactions. As a result, EFG is censured and fined $650,000.
Reference 2021069508201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100254489-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: EFG Capital International, Respondent Broker-Dealer CRD No. 40118 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, EFG Capital International (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2010025448901data-portal.finra.org finra.org

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