Risk & Regulatory Compliance

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OCC emphasizes compliance’s role in FI’s operational resiliency


Compliance departments at financial institutions must become more involved in ensuring their firm’s operational resiliency to address emerging risks, the Treasury Department’s Office of the Comptroller of the Currency said in its semi-annual risk perspective.


CFTC awards Trafigura whistleblower $8M despite involvement in misconduct


A whistleblower received an $8 million award from the Commodity Futures Trading Commission for uncovering fraud and manipulation by commodity trading company Trafigura—even though the agency deemed the whistleblower was culpable in the misconduct.

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SEC, CFTC actively probe off-channel comms violations, top officials say


Two senior officials from the Securities and Exchange Commission and Commodity Futures Trading Commission described how both agencies are committed to rooting out off-channel communications among registered entities for the long term.


CPE Webcast: Digital Operational Resilience Act: Key provisions and best practices

2024-06-18T14:00:00+01:00Provided by

This presentation will provide an overview of the key provisions of DORA and their implications for Third-Party Risk Management (TPRM) teams, list best practices for DORA preparation and review key considerations for teams looking to implement the DORA framework.


Washington state importer ordered to hire CCO in response to Lacey Act violations


A Washington state importer has been ordered by the Department of Justice to pay a $360,000 fine and hire a chief compliance officer after imported wood items the company claimed to be from Malaysia were found to be from China.


Evolve Bank ordered by Fed to address AML, sanctions lapses


The Federal Reserve Board ordered an Arkansas bank that partnered with numerous financial technology companies to correct deficiencies in its anti-money laundering, sanctions, risk management, and consumer compliance programs.

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CPE Webcast: Acting responsibly with generative AI: How to manage the risks and rewards in the workplace

2024-06-13T14:00:00+01:00Provided by

Generative artificial intelligence has gained immense popularity, but its adoption by businesses introduces ethical risks. Organizations must prioritize responsible use of generative AI by ensuring it is accurate, safe, honest, empowering, and sustainable.

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BIS’s Axelrod makes plea to financial services: ‘We want to work with you’


Matthew Axelrod, assistant secretary for export enforcement at the Bureau of Industry and Security, addressed efforts to reach financial services firms, working with the Financial Crimes Enforcement Network, and more during his fireside chat at CW’s Financial Crimes Summit.