Assessing the Risks Associated with Cannabis-Based Businesses in the U.S. and Canada
The federal government still prohibits banks from doing business with cannabis-based businesses, leading banks to miss out on a green ...
Tag: bank secrecy act
FinCEN Guidance: Crypto Firms Take Notice
Trading regulations on CVCs are due for a refresher course from FinCEN in light of recent penalties against a P2P ...
Battling AML Risk in the Casino and Card Club Industry
The Bank Secrecy Act and Enhanced Compliance Programs Increased regulatory scrutiny, historically high fines and now-legalized sports betting are leading ...
Finally, an Overhaul for AML Legislation
A New Anti-Money Laundering Regime for a New Century The landscape of AML regulations is scattered, with its primary legislative ...
Demystifying Regulatory Compliance with MDM
Using Master Data Management as Part of a Robust Compliance Program Martin Samuel Nielsen discusses how leveraging master data management ...
Regulatory Oversight for Cryptocurrency?
What Crypto Exchangers and Administrators Need to Know U.S. regulators have recently joined with an international coalition of tax enforcement ...
Betting on Compliance: The Supreme Court’s Decision in Murphy v. NCAA
Q&A with Nicole Sprinzen of Cozen O’Connor With the U.S. Supreme Court’s decision in Murphy v. NCAA on May 14, ...
Practical Steps for Compliance with NYDFS Regulation Part 504
5 Actions to Take Now With the New York State Department of Financial Services (“DFS”) Part 504 regulation’s first annual ...
Cryptocurrency Challenges and Opportunities
Bitcoin and other cryptocurrencies continue to gain ground as investors buy in, looking for high returns, and as acceptance of ...
Validating AML Models Under the NYDFS Part 504 AML Requirement
Enhancements Needed to Address Deficiencies April is fast approaching, and with it comes the deadline for certification with the New ...
Haider Settlement
The ex-compliance chief of MoneyGram International Inc. (MoneyGram) is found personally liable for MoneyGram’s AML failures. The lawsuit is unprecedented ...
Free Downloads
- Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong February 21, 2020SEC Obtains Judgments Against Market Manipulators
- Navellier & Associates, Inc., and Louis Navellier February 20, 2020SEC Obtains Partial Summary Judgment Against Investment Adviser and Principal for False and Misleading Marketing of Investment Strategies
- Emmanuel Kouyoumdjian (a/k/a "Manny K") February 20, 2020SEC Obtains Final Judgment Against Unregistered Broker
