The Fifth AML Pillar – Ongoing Transaction Monitoring
Written by Don Lee FINCEN published its final long awaited ‘Customer Due Diligence Rule‘ (CDD) for covered financial institutions on May 11, 2016. […]
Mark EdwardsMay 19, 2016
Big Data, Broker Dealers and Regulators
Written by Don Lee In the recent Technology Tools for Today conference hosted by Investment News on November 2nd in Florida, Big […]
Mark EdwardsDecember 21, 2015
Do you have a Risk Based Program?
Written by Don Lee The first question regulators often ask during an initial examination interview is ‘do you have a risk based […]
Mark EdwardsNovember 19, 2015