Regulatory Compliance Journal
Since its inception, the EU’s General Data Protection Regulation (GDPR) has been deemed by experts as the world’s st...
- 10 min read
Efficiently fine-tuning AML Transaction Monitoring can help financial firm's compliance teams to increase productivit...
- 19 min read
Politically exposed persons (PEPs) are individuals who have been entrusted with prominent public functions, such as gove...
- 15 min read
On the 6th of August 2019, the National Bank of Belgium ("NBB") published a press release announcing that in 20...
- 4 min read
A top-down approach highlights the behaviour of regulatory changes in the financial institution and helps the Compliance...
- 3 min read
What is DLU and how has it evolved through the years?DLU stands for "Déclaration Libératoire Unique", which is...
- 6 min read
While the world is on hold, financial crime has not taken a step back amidst the coronavirus emergency. Scammers, money...
- 13 min read
Since 1991, the European Union has regularly updated and released new anti-money laundering directives to adapt to and b...
- 11 min read
The understanding and management of risk by financial institutions, banks, and entities, has improved over the years. To...
- 10 min read
Despite the consistent efforts adopted by banks to fight money laundering and financial crime, fines for AML breaches ha...
- 10 min read
From an extra pair of hands to the person that advises on strategical decisions and the future of your company, consulta...
- 4 min read
Corporate governance standards are a framework within which operational and behavioural standards for the board, the exe...
- 3 min read
12 articles matching compliance expert 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...
- 11 min read
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 ...
- 12 min read
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...
- 10 min read
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...
- 9 min read
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...
- 15 min read
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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...
Apply a Top-down approach for Regulatory Compliance Ops
Governance, MIFID, Compliance expert, Tone at the Top, Top-down, MiFID2, Audit Findings, Transparency,A top-down approach highlights the behaviour of regulatory changes in the financial institution and helps the Compliance Officer to build a strong Governance. This principle is also known as “tone at the top” in ethical and responsible business b...
Financing terrorism: The billion-dollar blood antiquities art dealing
5AMLD, Terrorism Financing, Hawala, Art Dealing, Darkweb, ISIS,The destruction of the ancient city of Palmyra and the beheading of its Antiquities Chief, Khaled al-Asaad, in 2015 by the hands of the Islamic State of Iraq & Syria (ISIS) are still fresh in the minds of many. Beginning in 2014, the terrorist group...