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Combating terrorist financing: Coordination and the ‘human element’
Fundamental differences in ideology and motivation differentiate a terrorist from organized criminal groups. However, a debate rages over the connection between transnational organized crime and terrorist financing.
Citi CCO Mary McNiff taking to compliance one year in
Mary McNiff shared initiatives she’s undertaken in her first year as chief compliance officer at Citi during her keynote at CW’s 2021 National Conference on Wednesday.
SEC fines broker-dealer $1.5M for SARs filing failures
WFS Equities will pay $1.5 million as part of a settlement with the SEC for lapses in the filing of suspicious activity reports related to the threat of cyber-breaches.
Compliance Week 2021: Day 2 live blog
Check out some of the insights shared and key moments from Day 2 of our 16th annual National Conference.
James Comey: Lessons from Enron era will ‘become real again’
Former FBI Director James Comey kicked off Compliance Week’s 16th annual National Conference on Tuesday by speaking candidly about a variety of risk and compliance matters, including the importance of a strong ethical culture in the coming post-pandemic “boom times.”
SEC awards $22M to two whistleblowers in contentious case
Two whistleblowers sought to undermine each other in vying for the majority of a $22 million award issued by the SEC regarding malfeasance reported at a financial services firm.
EIC2021 Compliance Consultant of the Year: VANTAGE
Zachary Rothstein of Control Risks explains how the company’s TPRM solution VANTAGE helped with clients’ due diligence efforts amid the COVID-19 pandemic upon accepting Compliance Consultant/Advisor of the Year honors at CW’s 2021 Excellence in Compliance Awards.
EIC2021 Compliance Mentor of the Year: Ellen Hunt
Ellen Hunt, VP of compliance operations at LifePoint Health, explains her approach to advising others and what encouragement she would give to future compliance officers upon being named Compliance Mentor of the Year at CW’s 2021 Excellence in Compliance Awards.