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Provided by Computer Services, Inc. (CSI)2021-02-02T08:54:00
CSI’s white paper, BSA/AML Compliance: A Growing Consensus for Change, explores the need to modernize BSA/AML compliance and provides insight on recent updates designed to combat financial crime, including new guidance on Section 314(b) of the USA PATRIOT Act.
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2023-09-25T17:34:00Z By Kyle Brasseur
New York-based brokerage firm J.H. Darbie & Co. consented to pay a $125,000 penalty to resolve charges levied by the Securities and Exchange Commission that the firm failed to report suspicious activity regarding penny stock transactions.
2023-09-25T17:26:00Z By Kyle Brasseur
DWS Investment Management Americas agreed to pay $25 million in penalties across separate settlements with the Securities and Exchange Commission addressing alleged misstatements in environmental, social, and governance investments and anti-money laundering violations.
2023-09-18T20:32:00Z By Jeff Dale
A registered representative at an unnamed brokerage firm will pay $20,000 to settle charges by the Securities and Exchange Commission that he failed to notify the firm’s anti-money laundering department of apparent suspicious transactions.
2023-09-06T16:24:00Z Provided by ServiceNow
The technologies and approaches that enterprises use to manage risk and compliance have evolved—and this evolution is creating a moment of opportunity.
2022-09-12T21:39:00Z Provided by Linedata
Seismic change is afoot for asset managers’ investment compliance programs given the significant uplift in SEC proposed rules for investor protection combined with demands for greater transparency.
2022-05-20T18:25:00Z Provided by BRYTER
The compliance and risk landscape grows more complex each day, and the rate of change in the space is only accelerating.
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