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 ...
Tag: financial services
Global Rise of Collective Investor Actions Significant Risk for Companies
Mechanisms for shareholder class-action lawsuits are being developed around the globe. Dechert attorneys David Kistenbroker, Joni Jacobsen and Angela Liu ...
Understanding Pay Equity: What an Employer Needs to Know About Pay Discrimination, Pay Gap, New EEO-1 Requirements, Revised EEOC/OFCCP Legislation and More
OVERVIEW In this webinar, you will learn about your obligations as an employer in achieving pay equity in your workplace ...
Payroll Tax Issues for Multi-State Businesses: Fundamentals and Best Practices for Handling Multi-State Employees in 2019
OVERVIEW This payroll training will offer participants an understanding of the employee payroll tax and compliance implications of conducting business ...
Excel Pivot Tables 101: creating insightful reports for business intelligence
With Excel Pivot Tables you can quickly and easily build business reports, dashboards and charts that help you summarize, analyze, ...
Old AML Systems Hinder The Fight Against Financial Crime
Steps Companies Can Take to Improve Compliance and Reduce Risk Every year, billions of laundered dollars are moving through financial ...
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 ...
Third-Party Due Diligence Requirements for Financial Institutions
Sylwia Wolos, Head of Proposition, Enhanced Due Diligence at Thomson Reuters speaks with Finextra TV, covering topics including the latest third-party ...
The Real Return on Risk and Compliance Technologies
The Value of Big Data A crucial shift is underway in the financial services industry when it comes to regulatory ...
5 Security and Compliance Trends to Watch in 2018
Putting Plans Into Effect As tech evolves, so too does the compliance landscape, and keeping up can prove quite the ...
U.S. Financial Institutions Face New Risk Regulations
The Reality of the New FinCEN CDD Rule The FinCEN Final Rule on Customer Due Diligence (CDD) is designed to ...
Research Billing: The Current State of Affairs
U.S. financial institutions are scrambling to adjust to the expected shift within the trading industry with the implementation date of ...
- 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
