Stephen Platt, Chairman of KYC Technologies, offers an optimistic perspective on the impact of technology on AML compliance.
On June 5, 2017, the SEC charged brokerage firm Alpine Securities Corporation (Alpine) with securities law violations related to its ineffective anti-money
The Financial Industry Regulatory Authority (FINRA) barred a former Morgan Stanley representative for concealing the customers behind around $190 million
KYC360’s Tom Devlin interviews Simon Gaudion, Director of the Enforcement Division at the Guernsey Financial Services Commission.
As regulatory compliance initiatives move toward utilizing machine learning and artificial intelligence (AI), what effect might the increased efficacy of AML programs have on developing nations and small financial players without large compliance budgets? More ...
The Combating America’s Adversaries Through Sanctions (CATS) Act is a far-reaching expansion of United States sanctions against Iran, Russia and the Democratic People’s Republic of Korea (DPRK). While much has been made of the restrictions ...
Susan has been making her living from crime for over twenty years. She provides anti-money laundering training and advice to the regulated community in the UK, Guernsey, Jersey, the Isle of Man and Gibraltar, and ...
Global auditing giant KPMG agreed to pay $6.2 million in penalties to settle Securities and Exchange Commission charges that it failed to properly audit Miller Energy, an oil driller that emerged from bankruptcy proceedings last ...
Malta’s Minister of Finance failed to answer The Malta Independent’s questions on why it has not transposed the latest EU anti money laundering directive into law. The EU Commission some weeks ago penned a letter to ...
A money laundering probe at Commonwealth Bank of Australia is the latest in a slew of scandals denting the reputation
British drivers could face extra checks when renting cars and vans under plans to make it harder for extremists to
Compliance professionals in many large organizations are faced with a dilemma: is it possible to maintain the clarity of a single global compliance policy while still complying with the increasingly divergent local laws?
South Africa’s High Court said the government can’t intervene in the relationships between banks and their clients and dismissed an