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Most financial institutions are already on the path to using artificial intelligence in markets surveillance. NICE Actimize’s David Ackerman explores how this shift will impact compliance and the new skills compliance officers will need to cultivate. As those tasked with...

Behavox CEO Erkin Adylov discusses the serious reputational and monetary consequences financial firms face as a result of today’s remote working environment. The threat of employee misconduct has pushed corporate risk to new heights. Cast your minds back to the...

Fresh from the IFCA’s first International Compliance Congress, Sofia El Mansouri offers an overview of the event’s theme and select highlights from the past week. A successful five-day event came to a close as the International Federation of Compliance Associations...

Recent coverage of the FinCEN data leak has illuminated the need for an evolution in SAR filing. Hummingbird CEO Joe Robinson explains how and why the financial services industry needs to innovate now, through technology, to help solve the SAR...

The regulatory and compliance environment is becoming increasingly complex at a time when the IT industry is undergoing massive disruption. Oomnitza’s Arthur Lozinski offers several regulatory considerations that need to be taken in managing the IT estate. The enforcement period...

FinCEN recently released the factors it will use when deliberating an action against a financial institution for Bank Secrecy Act violations. FTI Consulting’s Jaco Sadie, Michael Buffardi and Stephanie Fauerbach explore how discrete issues could trigger multiple FinCEN enforcement factors....

A CCO doesn’t necessarily need a legal background. Some think it’s better when they hail from somewhere else, in fact. Nicole Di Schino considers whether a legal background works for or against the compliance pro. Should your next chief compliance...

Companies that fail to create a "speak up" culture run the risk of talking over the voices they need to be listening to most. A rising trend of the last few years has seen employees become increasingly vocal about injustices...

The California Privacy Rights Act of 2020 is similar to the CCPA, but there are significant differences. Baker Donelson’s Matthew White and Alexander Koskey summarize several of the provisions of the CPRA that all covered businesses need to consider. While...

The majority of fraud examiners expect to see a significant uptick in fraud over the coming year, which means fraud interviews will be on the rise as well. In recognition of International Fraud Awareness Week, The Bonadio Group’s Tim Ball...

A modification has been proposed by FinCEN and the Federal Reserve board to lower the threshold for the requirement to collect, retain and transmit information on funds and transfers. As Brandi Reynolds explains, this could have major implications for the...

Monitoring your intermediaries can be an expensive endeavor. Jim Nortz explores how to keep an eye on your intermediaries without breaking the bank. Read Part 5 here. Years ago, a friend of mine recounted for me his first law school...