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AILaw

Survey: Machine learning will (eventually) help win the war against financial crime

2020-10-27T14:45:00+00:00By

While the war against financial crime wages on, machine learning and artificial intelligence may give financial institutions the upper hand, according to a recent survey.

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Training, conflict of interest early pain points of Reg BI compliance

2020-10-27T15:34:00+00:00By

Financial institutions complying with the SEC’s new Regulation Best Interest standard have particularly struggled with training staff and how to identify and eliminate potential conflicts of interest, regulators said during an online forum.

SFO

U.K.’s SFO lays out expectations in new DPA guidance

2020-10-27T19:28:00+00:00By

The U.K. Serious Fraud Office has published its latest internal guidance on the threshold companies must meet before they are offered a deferred prosecution agreement.

FourOptions

Choose your ending: What to do when your systems are hacked and ransom is demanded

2020-10-26T14:54:00+00:00By

What should you do if your firm is hit by ransomware? Choose your own ending to this tale about a clinic, a criminal, and coronavirus to learn the risks and rewards of each choice.

Partner Content

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How the new reality of remote and distributed work is changing the risk and compliance landscape

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Join Executive Q&A with Microsoft and Frost Bank Risk Management Leaders to hear how their companies are addressing new risks brought by pandemics.

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Compliance Training That Sticks

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A free guide from OnCourse Learning to creating a high-impact financial compliance program.

Data and Research

  • Inside the Mind of the CCO: 2020 a year like no other

  • Compliance Week presents: ‘A Tale of Two Storms’

  • Survey: Past crises prepared compliance for coronavirus pandemic

More from Compliance Week

GoldmanSachs

Compliance lessons from Goldman Sachs’ $2.9B 1MDB settlement

2020-10-23T15:05:00+01:00By

Jaclyn Jaeger explores compliance takeaways from Goldman Sachs’ $2.9 billion global bribery settlement for its role in the 1MDB scandal.

Whistleblower

SEC doubles previous record with $114M whistleblower award

2020-10-22T20:01:00+01:00By

A $114 million whistleblower payout announced Thursday is the highest ever awarded by the Securities and Exchange Commission, more than doubling the previous $50 million record set in June.

Hester_Peirce

SEC Commissioner Hester Peirce mulling CCO liability framework

2020-10-22T19:37:00+01:00By

SEC Commissioner Hester Peirce revealed in a recent speech that she is considering developing a draft framework that would aim to clarify when the Commission may seek personal liability in compliance cases.

Dark money

‘FinCEN Files’ reaction poll: Corporate culture blocks AML compliance

2020-10-22T17:48:00+01:00By

In the aftermath of the “FinCEN Files” leak, financial industry practitioners polled by Fenergo say changing the system needs to start within their own institutions.

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    Looking for a forum to interact with corporate compliance officers, internal auditors, risk officers, financial reporting executives, and other corporate governance enthusiasts? Join the Compliance Week LinkedIn group, where members network and discuss GRC news and issues. Open to compliance practitioners.