Webinar on BSA/AML/OFAC Risk Assessment: 2019 Updates on Regulations and Techniques
What will be discussed? Conducting BSA/AML/OFAC risk assessments is not only required to comply with the regulations but also to ...
Tag: bank secrecy act
Performing BSA/AML/OFAC Risk Assessments: Components, Techniques and Best Practices
OVERVIEW This 60-minute webinar will summarize the importance of performing BSA/AML/OFAC risk assessments properly. It will discuss the various components ...
Understanding Consumer Credit Reporting Obligations: Metro 2, E-OSCAR and New Tougher FCRA/CFPB Compliance
OVERVIEW Understand your potential legal risk and compliance obligations with respect to consumer credit reporting. Many financial institutions which furnish ...
Consumer Credit Reporting: Metro 2, E-OSCAR and FCRA Compliance
Many financial institutions which furnish consumer credit information on a periodic basis to Credit Reporting Agencies (CRAs) experience challenges in ...
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 ...
Writing effective investigative reports to minimize liability: the dos and don’ts
An in-depth comprehensive investigative report memorializes the investigation, and can be evidence that an investigation actually occurred, which helps you ...
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, ...
- Terry Wayne Kelly and Kelly Management, LLC August 22, 2019SEC Charges Mississippi Company and its Principal with Fraud in Timber Ponzi Scheme
- Andrew J. Kandelapas August 20, 2019SEC Obtains Final Judgment Against CEO in Penny Stock Fraud Scheme
- Crystal World Holdings, Inc., et al. August 19, 2019SEC Charges Issuer for Misleading Investors in the Sale of Unregistered Securities
