Regulatory scrutiny of the insurance industry has never been more acute. Government regulators from a host of disparate disciplines are intensely focused on making sure we have the controls in place to avoid another financial meltdown. Compounding matters, insurance companies have begun to look more and more like financial services companies, taking deposits, underwriting interest rate and debt swaps, and adding collateralized...
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Alan Morley
Alan Morley is Head of AML and Compliance Practice at GFT. Alan has extensive experience in financial regulations in the U.S., UK and elsewhere and is a proven leader in the strategic use of technology to enhance business policies, processes and performance in global risk and compliance (GRC).
Over the last 18 years, he has worked with global banks on improving anti-money laundering transaction monitoring capabilities, control room surveillance, OFAC sanctions filtering, 314a screening, KYC and client remediation processes, legal discovery and regulatory risk assessments. With GFT, he works with clients from all regions throughout the U.S., EU, the Americas and Asia-Pacific.
- Eric J. "EJ" Dalius et al. October 15, 2019SEC Charges Additional Defendant in Multimillion Dollar Ponzi and Pyramid Scheme
- Cetera Advisors, LLC and Cetera Advisor Networks LLC October 15, 2019SEC Charges Registered Investment Adviser and Broker-Dealer with Defrauding Advisory Clients
- Richard Andrew Mallion October 11, 2019SEC Charges Man with Fraud, Unregistered Brokerage Activity, and Unregistered Offering
