Search for: "Matter of AML"
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19 Apr 2024, 9:27 am
. **** SEC Matters SEC Approves Spot Bitcoin ETFs. [read post]
8 Apr 2024, 10:00 pm
This note also includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to ESG matters. [read post]
31 Mar 2024, 9:01 pm
Such indicators include those related to less than satisfactory ratings on the CRA, consumer compliance, UFIRS, or ROCA; BSA/AML violations; and failure to address corrective actions or multiple enforcement actions against an acquirer in a three-year period. [read post]
19 Mar 2024, 6:28 am
” “A separate issue which is of growing importance is the issue of sufficient resourcing of AML work. [read post]
28 Feb 2024, 2:00 pm
“Whether an inference of causation based on an association is appropriate is a matter of informed judgment, not scientific methodology.... [read post]
15 Feb 2024, 9:08 pm
AUSTRAC also published two articles illustrating how suspicious matter reports (SMRs) are used to assist law enforcement to detect and disrupt the abuse of Australia’s financial system. 1 ASIC’s new website takedown capability knocks out over 2,500 investment scam and phishing websites On 2 November 2023, ASIC outlined details of a new investment scam takedown capability that initiates takedowns of… [read post]
8 Feb 2024, 4:07 pm
The senators’ ultimatum for FinCEN to provide a comprehensive explanation by February 23 underscores the urgency of the matter. [read post]
7 Feb 2024, 6:51 am
” “Twenty-six firms had dealt with a matter involving a designated person. [read post]
1 Feb 2024, 10:46 am
Other items to be aware about – AML/KYC (standard in subscription documents, though there should be heightened AML/KYC practices when launching a tokenized product), adequate description of conflicts of interest, whether the fund will be subject to ERISA, making sure marketing materials are accurate, etc. [read post]
30 Jan 2024, 10:30 am
Cryptocurrency Regulation Overview Video and Maintaining a Culture of Inclusion in Fast-Paced Tech Companies Video are two of the Financial Services Regulation practice videos providing insight on cryptocurrency matters for financial institutions. [read post]
26 Jan 2024, 6:16 am
Completing client/matter risk assessment – A practical guide (12 February 2024| YouTube) Speakers: Mandeep Sandhu, Head of Proactive AML Supervision, SRA, Declan Brown, AML Regulatory Manager, SRA, Michelle Clement, AML Regulatory Manager, SRA Our recent thematic review of client/matter risk assessments found that less than half of those produced within firms were compliant with the rules. [read post]
24 Jan 2024, 8:41 am
No matter what casino site you select, you can be sure that you are treated fairly. [read post]
18 Jan 2024, 6:47 am
The international firm was previously fined £50,000 and three partners £10,000 each for accounting failures and breaches of AML rules. [read post]
17 Jan 2024, 7:37 am
” Justin Smigelsky has a broad legal portfolio at Seeger Weiss, which includes handling qui tam matters filed under the federal False Claims Act and state law equivalents, as well as managing cases involving the IRS, AML, and SEC Whistleblower Programs. [read post]
8 Jan 2024, 6:08 am
We at the IELR send you best wishes for a new year. [read post]
8 Jan 2024, 6:08 am
We at the IELR send you best wishes for a new year. [read post]
19 Dec 2023, 6:32 am
The SRA kindly posted videos and resources from its recent event: “Compliance Officers Virtual Conference 2023” — VIDEO: “Anti-money laundering – what your firm needs to know“ Anti-money laundering guidance Client and matter risk template Client and matter risk assessments (Many more videos and resources worth a look, via the top link) Travelers Insurance shares: “UK: What’s Behind Large Losses in Law Firms? [read post]
13 Dec 2023, 6:41 am
For non-selected obliged entities, AML/CFT supervision would remain primarily at national level. [read post]
6 Dec 2023, 2:30 pm
His practices focuses on the areas of government and internal investigations, corporate governance, and white collar and regulatory matters. [read post]
6 Dec 2023, 6:41 am
The regulator said it had identified areas of concern in relation to compliance with the 2017 AML regulations and the SRA principles and code of conduct. [read post]
