Regulatory Compliance Journal

Financial crime and regulatory compliance information for professionals finance, legal and technology enthusiasts

The Enterprise-Wide Risk Assessment (EWRA) or Overall Risk Assessment has become a regulatory obligation from an EU and ...

A top-down approach highlights the behaviour of regulatory changes in the financial institution and helps the Compliance...

In recent years, regulators have begun to scrutinize more closely financial institutions regarding the soundness of thei...

From an extra pair of hands to the person that advises on strategical decisions and the future of your company, consulta...

Suspicious Activity Reports (SAR) drafted by financial institutions contain some of the most valuable information availa...

5 articles matching audit findings tag

What are the EU's Anti-Money Laundering Directives?

Since 1991, the European Union has regularly updated and released new anti-money laundering directives to adapt to and be able to fight new money laundering and terrorist financing techniques (e.g.: MiCA to regulate crypto-currencies). Today, modern technology services are becoming increasingly...

The effectiveness of financial sanctions and embargos

Financial sanctions and embargos have long been used by governments and international organizations as a means of applying economic pressure on rogue states in order to achieve political objectives. These measures aim to restrict or cut off the flow of financial resources to targeted countries ...

What are worldwide AML regulations for cryptocurrency ?

The popularity of cryptocurrencies has risen significantly in recent years, with more individuals and businesses using them for a variety of purposes, including international money transfers and online purchases. In order to protect the integrity of the global financial system and minimize ille...

What is the impact of the EU whistleblowing legislation?

Whistleblowing became a subject of concern when major consequences produced by Swiss Leaks and Lux Leaks made the case for a change in the European framework. In both cases, the whistleblowers worked for private companies prior to leaking information. If their situation was to repeat now, would...

Why are PEPs under increased scrutiny?

Politically exposed persons (PEPs) are individuals who have been entrusted with prominent public functions, such as government officials, politicians, or high-ranking members of the military. PEPs may also include their family members and close associates. The term "PEP" is often used i...

Christian Teixeira Martins - Pideeco Member
Christian Teixeira Martins Junior Consultant
Damian Vildosola Truche - Pideeco Member
Damian Vildosola Truche Senior Consultant
Stefano Siggia - Pideeco Member
Stefano Siggia Senior Consultant

More work

What is the impact of the EU whistleblowing legislation?

Belgium, Compliance, Data Security, Europe, EU, Whistleblowing, Tax Havens, Personal Data,

Whistleblowing became a subject of concern when major consequences produced by Swiss Leaks and Lux Leaks made the case for a change in the European framework. In both cases, the whistleblowers worked for private companies prior to leaking information...

How to remotely identify clients and become PSD2 compliant?

PSD2, Europe, Digital, Financial Institutions, Financial operations, EU, Compliance, Financial firms,

The European Banking Authority (EBA) published in June 2019 an : Opinion on the elements of strong customer authentication (SCA) under the revised : Payment Services Directive (PSD2) . The Opinion provides non-exhaustive lists of the authentication e...

The KYC Guide for Russian Professional Counterparties

Compliance, Financial firms, KYC, AML, Risk Based Approach, Russia, Financial Institutions, Financial operations, Europe,

How to conduct KYC on Russian Counterparties ?Doing business with Russian entities in non-sanctioned sectors of the economy requires some specific attention points regarding client due diligence (the risk exposure assessment process of clients to mon...