Webinar: Taking a systems-based approach to due diligence
Register HERE Due diligence is not a one-time activity. Even when onboarding a new partner, your business needs data to ...
Tag: due diligence
Automating KYC Compliance with Smart ID&V
As customers increasingly prefer to do their banking via smart devices, it’s time for banks to modernize their approach to ...
FINRA Reveals Top Areas of Interest: Supervision and Digital Communications Compliance Programs
The Financial Industry Regulatory Authority (FINRA) has issued its latest report, and the findings could be significant for financial services ...
The Pros Who Are Key to Fighting Corporate Fraud
Management accountants are on the front lines of fraud, and their skill sets make them ideal for fraud detection and ...
How M&A Benefits from Independent Assessment
Pop quiz! What’s the best time to engage an independent monitor for an M&A process? Answer: “as early as is ...
Oversight of Merged Companies
Jay Rosen considers what a monitor would review to determine if a company adequately considered ethics and compliance during the ...
Ethical Fit: What Impact Do M&As Have on Both Parties?
Jay Rosen considers the impact mergers and acquisitions have on both the acquired entity and the acquirer, starting with the ...
The Whys, Whats and Hows of an Independent Assessment of a Target
Jay Rosen discusses how to assess ethics and compliance in the context of a merger or acquisition, what to look ...
“Blind Spots” and Customer Due Diligence
Assumptions are dangerous. Sam Sheen, financial crime expert at Efficient Frontiers International (EFI) shares the story of a criminal who ...
ICO to Issue More Than $350M in Fines for GDPR Data Breaches
In light of news of substantial fines from the U.K.’s ICO, Willkie Farr & Gallagher attorneys discuss the importance of ...
5 Common Weaknesses in OFAC Sanctions Compliance Programs
If your business activities take place in the U.S., you need to be doing OFAC screening. Michael Volkov offers five ...
Refinitiv Unwraps Beneficial Ownership and Vessel Data to Support Improved Risk Management
Integration of data from Dun & Bradstreet and IHS Markit Maritime and Trade within World-Check One creates formidable resource in ...
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- Edward E. Matthes January 28, 2020SEC Charges Wisconsin Broker with Defrauding Retail Investors
- 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
