Compliance

Casinos: Keeping In Line With Title 31 (Part 1)

In a new two-part blog series, we examine how casinos are on the front lines of money laundering investigations amid rising government enforcement actions. Will…

Legal Executive Institute August 06, 2019

INTERVIEW: Marijuana Firms Slowly Gain Bank Access, Says Ex-U.S. Treasury Official

A "fear factor" that has kept banks from serving marijuana-related businesses in the United States is easing amid changing attitudes on Capitol Hill. As a…

Brett Wolf July 25, 2019

Deutsche Restructuring Sees Compliance, Financial Crime Teams Merged

The long-awaited shake-up at troubled Deutsche Bank will see Sylvie Matherat, chief regulatory officer, exit on July 31, and Chief Risk Officer Stuart Lewis assume…

Legal Executive Institute July 18, 2019

Cost of Compliance Survey 2019: After 10 Years of Regulatory Change, Nothing Is Certain Except More Change

It has been 10 years since the great financial crisis and its aftermath led us into an environment that has been characterized by change, change,…

Susannah Hammond June 27, 2019

UK’s FCA Turns Up the Heat on Wholesale Brokers over Compliance & Culture

Despite not being known as bastions of best practice for compliance, conduct, or culture, wholesale brokers in the United Kingdom have avoided the wrath of…

Rachel Wolcott May 10, 2019

Knocking on Government Doors: How Do You Respond to the Government Knocking on Your Door?

In the conclusion of her blog series, “Knocking on Government Doors”, Irene Liu, vice president and general counsel at Checkr, discusses proactive engagement strategies to…

Irene Liu April 15, 2019

UBS’s Record Fine Lays Bare the Continued Struggle with Change Management and Quality Control in Financial Markets

UBS's record £27.6 million fine for Markets in Financial Instruments Directive I (MiFID I) transaction reporting errors clearly demonstrates the struggle financial services firms are…

Rachel Wolcott April 10, 2019

Risk Professionals’ Understanding of AI Vital to Effective Discharge of Responsibilities

As the financial services sector sees more deployment of artificial intelligence (AI) in various functions, risk and compliance professionals will face increasing challenges in discharging…

Legal Executive Institute March 27, 2019

10 Things Compliance Officers Need to Do in 2019

By many, 2018 was seen as the year that the job of compliance officers grew even wider. Now, not only are risk and compliance officers…

Susannah Hammond March 08, 2019

Survey of Canadian Corporate Counsel Finds Risk Management, Outside Counsel Partnerships Most-Concerning Issues

Many in-house counsel who participated in Canadian Lawyer magazine’s "2018 Corporate Counsel Survey" cited risk management as the top issue facing legal departments in the past…

Legal Executive Institute February 22, 2019

On the Ground at ACAMS in Las Vegas: The CDD Rule, So Far

LAS VEGAS — It has been almost six months since the Financial Crimes Enforcement Network (FINCEN) implemented the Customer Due Diligence (CDD) Rule. So, what…

Gina Jurva October 05, 2018

Forum Magazine: Beyond GDPR — What Does Best Practice in Data Privacy Mean?

The European Union’s General Data Protection Regulation (GDPR) has been one of the biggest regulatory concerns of the decade, across the EU and beyond, forcing…

Tom Bangay September 27, 2018