Since the financial crisis, financial services firms have seen unprecedented levels of regulatory change as governments and policy makers have sought to ensure that a…
“If you think compliance is expensive, try non-compliance.” — former U.S. Deputy Attorney General Paul McNulty For the past two decades, financial crime risk has…
LAS VEGAS — As a nascent international anti-money laundering (AML) push to ensure global regulation of cryptocurrencies advances, most banks continue to take steps to…
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…
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…
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…
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…
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…
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…