Will Your Customers Invest in Your Strategy?
Memorial Day weekend 1977 opened with an intergalactic bang as George Lucas’ blockbuster Star Wars hit movie theaters across America. ...
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How Safe Is Your Business?
How much do you worry about being hacked? How much should you worry? In 2017, cyber-attacks doubled from 2016 levels—and the ...
New York DFS Issues Tough Anti-Money Laundering Regulation
The state of New York has recently passed a new rule pertaining to transaction monitoring and screening requirements within regulated ...
The Regulatory Imperative for Blockchain
The advent of blockchain technology, most commonly associated with Bitcoin stands to significantly impact the financial services industry. Four ecosystems ...
The Rise and Fall in Compliance Costs
Financial services leaders express concern about rising compliance and fraud detection costs. Short of spending more on automation or slashing ...
New Report Shows Lack of Preparedness for Automatic Exchange of Information Reporting
New research from Aberdeen Group and Sovos Compliance shows confidence, but gaps in accuracy and mounting fears of fall out ...
Waiting for the Fog to Clear: Blockchain Technology and Regulatory Compliance
Blockchain technology is poised to revolutionize the financial services industry. Compliance professionals and regulatory authorities are closely monitoring the operational ...
The Siren Song of Social Media
At the heart of the compliance focus with social media channels is the balance between personal and business orientation for ...
FinCEN Issues New Beneficial Ownership Regulations
In response to the Panama Papers leak, the Financial Crimes and Enforcement Network has adopted new regulations around beneficial ownership. ...
The Panama Papers & Who Owns What
Are the problems revealed by the Panama Papers anything new? Absolutely not. Unreported offshore accounts are hardly a novel phenomenon. ...
What a Holistic Customer View Does for Compliance
Global organizations have historically struggled with capturing a holistic view of their customers – one that spans international jurisdictions, lines ...
The Rise of the Non-Bank Lender
With commercial banks taking a more conservative approach to lending since the financial crisis, the lending market has opened up ...
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- Daniel Markel January 17, 2020SEC Charges Operator of Substance Abuse Center with Securities Fraud
- Hill International, Inc. et al. January 17, 2020SEC Charges Construction Management Consulting Company and Former Employees with Accounting Fraud
- Allan L. Lundervold January 16, 2020SEC Charges Individual with Acting as an Unregistered Broker
