Search for: "Matter of AML"
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7 Feb 2024, 6:51 am
” “Twenty-six firms had dealt with a matter involving a designated person. [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]
23 Sep 2020, 8:11 am
” “The agreement said that, from October 2014 onwards, Taylor Vinters acted in 161 matters for 88 clients, who were overseas nationals purchasing off-plan property plots in London. [read post]
23 Apr 2018, 11:51 am
Treasury Wants to Know Your Customers, No Matter What the Currency appeared first on Cybersecurity Lawyer Forum. [read post]
3 Apr 2019, 6:00 am
N18C-07-173 (AML) (CCLD) (Del. [read post]
10 Aug 2022, 6:25 am
” “Second, the rule of construction provision provides that privilege, ethics, confidentiality, privacy, or related matters should not limit or impede the covered parties’ obligation to comply with the Act. [read post]
21 May 2018, 2:51 pm
For some of the same reasons, dealers in precious metals, stones, and jewels were included in AML/CTF statutes like the BSA and, in like manner, art and antiquities dealers are fit for inclusion.In fact, the Financial Action Task Force (FATF)--an inter-governmental body that publishes AML/CTF standards--specifically lists art and antiquities transactions as vulnerable to criminal exploitation. [read post]
8 Nov 2021, 9:40 am
”Two United Kingdom-based AML compliance firms warned about latent potential illegalities that are concealed within the antiquities market. [read post]
2 May 2020, 8:37 am
It identifies and analyzes the threats and vulnerabilities to the U.S. anti-money laundering and counter-financial terrorism (AML/CFT) system. [read post]
2 May 2020, 8:37 am
It identifies and analyzes the threats and vulnerabilities to the U.S. anti-money laundering and counter-financial terrorism (AML/CFT) system. [read post]
14 Mar 2022, 8:03 am
Webinar recording: “AML in 2022: Nothing Can Be as Bad as 2021…Right? [read post]
16 Feb 2018, 10:53 am
Firms and counsel who deal with FINRA in enforcement matters should hold the regulator to these principles. [read post]
12 Sep 2022, 11:14 am
” As Kirby noted, an “AML/CFT regime that merely accounts for and reacts to new threats, however, is not sufficient. [read post]
15 Mar 2021, 8:01 am
Areas we found that needed the most work included: independent audit screening of employees matter risk assessments source of funds checks. [read post]
20 Jul 2012, 7:39 am
The report also identifies regulatory gaps and recommends that the OCC (i) treat AML deficiencies as a safety and soundness matter, (ii) develop a policy to coordinate internal divisions conducting AML examinations, (iii) consider the use of formal or informal enforcement actions to address mounting AML failures, and (iv) strengthen AML examinations by citing violations and focusing on specific business units and a bank’s AML program as a… [read post]
28 Jan 2010, 12:21 pm
This applies to threshold transaction, international funds transfer instruction, or suspicious matter reports made after 12 December 2008, until such time as entities are compliant with the AML/CTF reporting requirements, but not later than 12 March 2010. [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]
30 Sep 2021, 8:02 am
Perhaps that doesn’t sound like the most exciting meeting, but I think it is critical that the Board spend time on these matters to assure ourselves that the organisation is delivering as it should be for all our stakeholders. [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, 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]
