Financial Services
Cutting-edge technologies create footprints in all aspects of life, and banking compliance is no exception. Financial crimes compliance expert Sujata Dasgupta looks at the daily impact these technologies have on banks and financial institutions. Financial crimes across the globe have...
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Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the financial services industry -- and many firms are feeling the impact of the increased scrutiny. Download this summary now to...
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What might be among the largest regulatory and compliance burdens organizations face in the near future? Operational Resilience. Protiviti’s Ron Lefferts discusses the need for financial institutions to achieve better standards in order to achieve it. Operational disruptions are impacting...
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Financial institutions must balance the desire to protect vulnerable clients from financial exploitation with their clients’ rightful expectation that their privacy interests will be respected. Bressler, Amery & Ross’ Josh Jones discusses reporting and disclosure issues. The financial exploitation of...
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The federal government still prohibits banks from doing business with cannabis-based businesses, leading banks to miss out on a green opportunity. Fenergo’s Rachel Woolley shares insight into how banks should view onboarding cannabis-based businesses. Even though Colorado announced that over...
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The eventuality of a cyber attack is cause for concern for all kinds of organizations, but lately the financial services industry has been especially afflicted. Drawbridge Partners’ Martin Passante explores the growing cybersecurity threat in financial services and how firms...
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FinCEN issued the final rule on customer due diligence on the heels of the Panama Papers scandal, and we’re now more than a year past the compliance deadline. Commonwealth Trust Company’s Ola Tucker discusses the rule’s limitations. Panama Papers Scandal...
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Advancements in technology have transformed the horizon of financial services, but these innovations are also raising challenges of their own in areas like cybersecurity, social media, data privacy and third-party risks. ZL Technologies’ CEO, Kon Leong, discusses the latest data...
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Cybersecurity is one of the most daunting responsibilities mutual fund boards must confront, and so few on the board are well-versed in it. ACA Compliance Group’s James Pappas and Askari Foy discuss what’s needed to ensure the board understands the...
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The Trump administration’s policies toward Cuba have recently shifted, creating some urgency for U.S. firms that do business with the embattled country and its regional partners. Michael Carter and Drew Marrocco detail what American companies need to do to maintain...
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Recent research from Fenergo reveals that banks’ C-suite executives overwhelmingly agree: Underinvestment in technology negatively impacts client onboarding and retention – yet a large percentage have not invested in solutions that would help. Fenergo’s Greg Watson examines the disconnect. The...
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Duff & Phelps’ Global Regulatory Outlook report found that while financial institutions globally are devoting considerable energy and resources to AML efforts, there is still work to be done at the firm level. John Arvanitis discusses. The increasing complexity and...
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- David Aubel and Robert Raffa January 27, 2020SEC Obtains Final Judgments Against Two Individuals Charged with Microcap Fraud
- Jeffrey P. Carpoff and Paulette Carpoff January 24, 2020SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme
- Sergii "Sergey" Grybniak, Opporty International, Inc., and Clever Solution Inc. January 21, 2020SEC Charges Founder of Purported Blockchain Marketplace for Fraudulent Ico
