CVI Dom Maklerski is an investment firm (brokerage house) subject to enforcement action for AML/CFT violations related to payment-linked client money handling and risk assessment procedures.
Low confidence — requires human review. While the enforcement concerns AML compliance, the violation relates to procedural deficiencies in risk assessment rather than direct payment processing or client money safeguarding.
Specialism
The KNF imposed a financial penalty on a brokerage house for violations of AML/CTF legislation, specifically for failing to implement required internal procedures for money laundering and terrorist financing risk assessment.
The core violation concerns failure to establish mandatory AML/CTF risk assessment and monitoring procedures, making AML/CTF the subject-matter secondary tag.
2026-04-15 09:46:40·msolomon@vixio.com
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TITLE: Poland's Financial Supervision Authority Imposes Administrative Fine on CVI Dom Maklerski
BODY:
On an unspecified date, Poland's Financial Supervision Authority (Komisja Nadzoru Finansowego, KNF) issued a final administrative decision imposing a financial penalty on CVI Dom Maklerski sp. z o.o., a brokerage house based in Warsaw.
The penalty was issued under Article 152 of the Act on Combating Money Laundering and Financing of Terrorism (ustawa z dnia 1 marca 2018 r. o przeciwdziałaniu praniu pieniędzy oraz finansowaniu terroryzmu). CVI Dom Maklerski (KRS: 0000424707; NIP: 9542738238) was found to have violated Article 50 of the anti-money laundering and counter-terrorism financing legislation. Specifically, the institution failed to implement an internal procedure during the period from 13 July 2018 to 10 January 2019 in the scope required by law. The violation concerned the failure to establish mandatory elements of the procedure, including rules for identifying and assessing the risk of money laundering and financing of terrorism associated with business relationships or occasional transactions. The procedure also lacked provisions for verification and updating of previously conducted money laundering and counter-terrorism financing risk assessments. This deficiency impacted the proper application of other procedural elements.
The KNF imposed a financial penalty of PLN50,000 (fifty thousand Polish zloty). The institution did not lodge an appeal against the decision with the court. The decision was published in accordance with Article 152(1) and (8) of the anti-money laundering and counter-terrorism financing act.