This course covers common risk assessment standards, processes, and methodologies, explaining how to define risk from anti-money laundering, cybercrime, and sanctions perspectives and how to build a successful risk assessment program for your institution.
Our Cyber Risk & Data Privacy Summit brings together industry experts to discuss best practices on managing cyber risks and share insights into the latest data privacy trends.
Compliance Week is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors.
The former chief compliance officer and comptroller at Executive Compensation Planners (ECP), a New York-based investment adviser and financial planning firm, was sentenced Tuesday to more than six years in prison for her role in a Ponzi scheme that defrauded clients of more than $11 million.
Vania May Bell pleaded guilty in March to one count of conspiracy to commit wire fraud for helping her father, Hector May, the former president of ECP, with executing the scheme. She was ordered by the U.S. District Court for the Southern District of New York to pay more than $8 million in restitution and forfeit $589,942.
May pleaded guilty in December 2018 to conspiracy to commit wire fraud and investment adviser fraud and was sentenced in July 2019 to serve 13 years in prison.
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