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Wealth management firm fined by FINTRAC for AML failures
Lack of written policies and oversight was at the center of the enforcement action against independent firm “considered a securities dealer” by regulator.
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Podcast: A GRIP discussion on law, compliance and policymaking in 2025
Alexander and Julie say mandates in consumer protection, sustainability reporting, and privacy mean companies must maintain resources and skills to meet compliance challenges.
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FINRA releases 2025 Regulatory Oversight Report
Compliance trends, emerging risk areas and best practices pointers are highlighted.
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FCA wants firms to do more to disrupt money mule activity
Reporting of fraud by firms lagging offboarding of mules, but regulator notes high incidence of SARs reporting.
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SEC whips out final orders for violations grounded in supervisory, oversight lapses
Final settlement orders announced last week include those against firms for infractions often based in compliance program lapses.
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SEC charges Navy Capital with misrepresenting AML processes to investors
The SEC said the company represented to private fund investors that the firm was voluntarily complying with AML due diligence laws despite actual processes for same being used.
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Podcast: Dr Mariola Marzouk on derisking, AML regtech and fear of speaking up
With a career spanning software and consulting firms as well as banks globally, Mariola gives us a frank insight into AML surveillance in practice.
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OPINION: US regulatory compliance outlook for 2025
Let’s take a look ahead to 2025 and think about how the regulatory and compliance landscape could undergo transformation – or not.