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US: Large Bank fined $70 Million for repeated AML deficiencies

buckleysandler.com/blog/2018-01-11/occ-fines-national-bank-failing-fix-bsa-deficiencies www.occ.gov/news-issuances/news-releases/2018/nr-occ-2018-3.html?utm_source=RSS_feed&utm_medium=RSS Click to access ea2017-104.pdf 0

January 22, 2018 webmaster Banking, Money Laundring, Risk Management, US

Trends: Will Banks get behind an Industry-Wide KYC Blockchain-Based Registry?

www.out-law.com/en/articles/2018/january/wary-banks-are-unlikely-to-get-behind-an-industry-wide-kyc-blockchain-based-registry-says-expert/ 0

January 19, 2018 webmaster Banking, Blockchain, Money Laundring, Regulatory, Risk Management, Trends

Brazil: New resolution on Politically Exposed Persons

goo.gl/pHvvsz 0

January 19, 2018 webmaster Banking, Brazil, Money Laundring, Risk Management

UK: New anti-corruption strategy – five practical changes

www.burges-salmon.com/news-and-insight/legal-updates/the-uks-new-anti-corruption-strategy/ Click to access 6_3323_Anti-Corruption_Strategy_WEB.pdf 0

January 18, 2018 webmaster Money Laundring, Risk Management, UK

US: Broker-Dealer fined $2 Million for improper Monitoring of employee E-mails

Click to access RJFS_AWC_122117.pdf 0

January 16, 2018 webmaster Regulatory, Risk Management, US

US: SEC charges Lawyer and Accountant with Aiding and Abetting of Fraud case

www.sec.gov/litigation/litreleases/2017/lr24022.htm 0

January 15, 2018 webmaster Regulatory, Risk Management, US

US: SEC charges Broker for illegal IPO kickback scheme

www.findknowdo.com/news/12/20/2017/sec-charges-broker-illegal-ipo-kickback-scheme 0

January 11, 2018 webmaster Regulatory, Risk Management, US

US: FinCEN Launches new information-sharing platform – the FinCEN Exchange

www.wilmerhale.com/pages/publicationsandnewsdetail.aspx?NewsPubId=17179886282 0

January 5, 2018 webmaster Money Laundring, Regulatory, Risk Management, US

New Zealand: AML/CFT Supervisors update guidelines

www.chapmantripp.com/publications/amlcft-supervisors-release-updated-guidelines 0

January 4, 2018 webmaster Money Laundring, New Zealand, Risk Management

US: Five Things to think about before a Surprise SEC Exam

bit.ly/2zH321U See also: bit.ly/2pMSf6B 0

January 2, 2018 webmaster Regulatory, Risk Management, US

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