Search for: "Matter of AML"
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23 Jun 2023, 3:11 am
We expect this trend to continue, with the SFO focusing on fewer more significant matters. [read post]
21 Jun 2023, 9:48 pm
Other key matters in the quarterly report include ASIC’s efforts to: ensure sustainability-related claims made by financial institutions were accurate; reduce the risk of harm to consumers caused by poor design and distribution of financial products, noting stop orders on financial products with deficient or non-compliant target market determinations; promote good practices for handling whistleblower disclosures; improve insurance in superannuation; and monitor remediation over… [read post]
15 Jun 2023, 3:04 pm
Then another very important topic is data protection, which is also… So, data protection is to be implemented in the law firm, we have the EU regulation on data protection that you don’t have in the United States, but here it’s also a very serious subject matter. [read post]
25 May 2023, 9:25 am
The key takeaways from the Consultation Conclusions, including the key amendments and clarifications to the VATP Guidelines and SFC AML Guidelines, are set out below. 1. [read post]
25 May 2023, 6:05 am
Remittances are the largest and most important flow of money into Somalia; any constraint would be a matter of life or death for the most vulnerable Somalis. [read post]
23 May 2023, 3:15 am
TPRM was indicated by 62% of overall respondents, far ahead of litigation/regulatory exposure (45%); anti-bribery, anti-corruption (ABAC), anti-money laundering (AML), and fraud (38%); and environmental, social, and governance (ESG) matters (38%). [read post]
22 May 2023, 6:14 am
Should the client later have a matter requiring the counsel of your attorneys in other countries, the work would have to await completion of AML checks, causing delays and risking dissatisfaction. [read post]
13 Apr 2023, 10:51 pm
Lastly, AUSTRAC provided reporting entities with updates from the Financial Action Task Force (FATF), the global group that sets international anti-money-laundering and counter terrorism financing (AML/CTF) standards, relating to foreign jurisdictions that present high money laundering and terrorism financing risk and have strategic deficiencies in their AML/CTF regimes. [read post]
21 Mar 2023, 2:15 pm
(Desirability is another matter...) [read post]
22 Feb 2023, 6:12 am
Urbanski said the new law clerk was restricted from working on any matters handled by her former employer, according to Jones’ identical orders filed last week in several cases. [read post]
7 Feb 2023, 6:14 am
” “Many of the federal anti-money laundering (AML) legislation and regulations have and continue to seek to cover lawyers. [read post]
7 Feb 2023, 4:24 am
These requirements will cover areas such as: ownership, governance and management, financial resources requirements, risk management, AML/CFT, user protection, and regular audits and disclosure requirements; maintenance of reserve assets and redemption, whereby the value of the reserve assets of an In-scope Stablecoin arrangement should meet the value of the outstanding stablecoins at all times. [read post]
6 Feb 2023, 11:15 am
The D&Os in these matters are subject to scrutiny regarding gaining and maintaining the cryptocurrency. [read post]
10 Jan 2023, 12:33 pm
Wells Fargo agreed to pay $7 million to resolve the matter. [read post]
15 Dec 2022, 8:00 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
15 Dec 2022, 4:00 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
5 Dec 2022, 6:11 am
” “This team has worked extensively on money laundering matters representing a range of parties in many, often complex, situations and environments. [read post]
4 Nov 2022, 7:56 am
Now, the recent invasion of Ukraine and evolving AML regulations in the United Kingdom have further motivated the U.S. to address ML concerns more specifically.[9] US REGULATION Following the example of the European Union in passing the 5th EU Directive,[10] United States legislators introduced a bill to impede illicit actors from using the art market to launder ill-acquired funds. [read post]
4 Nov 2022, 6:12 am
For example, reputational risk and whether the client had the ability to pay fees, as opposed to the AML risk. [read post]
10 Oct 2022, 1:07 pm
Brokers must publicly disclose reportable events on their BrokerCheck reports that include customer complaints, IRS tax liens, judgments, investigations, terminations, and even criminal matters. [read post]
