Regulatory Compliance Journal

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

MiFID (Markets in Financial Instruments Directive) was put into force in November 2007 and was created with the objectiv...

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

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

An audit trail (also called audit log) is a relevant chronological recording of actions, a set of files, or the destinat...

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

Imagine a situation in which the integrity of your organisation is corrupted by personal gain – how would you respond?...

Each year we are entitled to different lists about tax havens issued by governments or international organisations, but ...

The understanding and management of risk by financial institutions, banks, and entities, has improved over the years. To...

Efficiently fine-tuning AML Transaction Monitoring can help financial firm's compliance teams to increase productivit...

In the past few years, many scandals related to money laundering have been recorded. For instance, the Panama Papers hav...

Corporate governance standards are a framework within which operational and behavioural standards for the board, the exe...

How to conduct KYC on Russian Counterparties ?Doing business with Russian entities in non-sanctioned sectors of the econ...

Cutting ties to minimize risk might sound smart, but what happens when de-risking goes too far? In 2015, Dr. Iraj Hashi,...

Compliance risk is one of the biggest concerns of the banking industry. Failing to comply can have an impact on the repu...

On March 12 2019, the European Parliament and European Union Member States made a provisional agreement on how to protec...

The European Banking Authority (EBA) published in June 2019 an : Opinion on the elements of strong customer authenticati...

With the never-ending stream of regulations and obligations imposed on financial institutions, it is no wonder that depa...

With the rise of environmentally and socially conscious consumers, companies are under more pressure than ever to prove ...

MiFID (Markets in Financial Instruments Directive) was put into force in November 2007 and was created with the objectiv...

🎬 Introduction to RegTech and Regulatory ComplianceThe worldwide economic repercussions of the 2008 financial crisis ...

20 articles matching financial firms tag

DORA: practical guide for small businesses

Compliance with the Digital Operational Resilience Act (DORA) represents a real challenge for small businesses in the financial sector. Unlike large institutions with dedicated cybersecurity and risk management departments, SMEs often lack specialized resources. They may not even have formal go...

How to detect serious fiscal fraud?

Serious fiscal fraud is not just a legal risk, it’s a direct threat to an organization’s reputation. The stakes are rising as European and national authorities ramp up enforcement under evolving frameworks like the Directive on Administrative Cooperation (DAC), the Anti-Money Laundering Dir...

How will CSDDD impact companies in the EU?

The EU’s Corporate Sustainability Due Diligence Directive (CSDDD) draws a clear legal line between profit and harm. By embedding environmental and human rights due diligence into the core of corporate strategy, the directive redefines what it means to do business responsibly. But what will th...

How to approach de-risking for AML compliance?

Cutting ties to minimize risk might sound smart, but what happens when de-risking goes too far? In 2015, Dr. Iraj Hashi, a U.K.-based economics professor, had his bank accounts abruptly closed after 40 years of banking without any explanation. The most likely reason? His Iranian origin. De-ri...

How can AML professionals detect smurfing?

Small, frequent transactions may seem harmless, but in the world of AML (Anti-Money Laundering), they are a major tool for money laundering. It is therefore essential that financial institutions deploy monitoring systems capable of detecting these suspicious schemes before the funds are integra...

Yassmina Berrayah - Pideeco Member
Yassmina Berrayah Traineeship
Michel Cliquet - Pideeco Member
Michel Cliquet Manager
Ruben Constantino David - Pideeco Member
Ruben Constantino David Junior Consultant
Diogo Canario da Cunha - Pideeco Member
Diogo Canario da Cunha Senior Consultant

More work

Regulatory Compliance for Insurance and Reinsurance Firms

Reinsurance, Solvency II, PRIIPS, KID, Risk, Financial solvency, Transparency, Reporting, Governance, Ethics, Privacy, FSMA, NBB, Belgium, MiFID2, Insurance,

Insurance/reinsurance companies play an important role for the European economy. Many European countries, among them Belgium, are listed in the top 20 OECD countries with the highest gross insurance premiums, with Belgian premiums reaching around 30...

MiFID: Time for information transparency

Financial firms, MIFID, Financial firms, Investment Funds, UCITS, MiFID2, ESMA, PRIIPS, Transparency, Compliance,

MiFID (Markets in Financial Instruments Directive) was put into force in November 2007 and was created with the objective of harmonising Europe's financial landscape. This Directive changed how the financial markets worked and especially how they ...

AML: What is adverse media or negative news?

Compliance, Anti Money Laundering, RegTech, Know your Customer, Red Flags, KYC, Due Diligence, AML, Money Laundering, KYC,

The digital era has given KYC analysts unprecedented access to a plethora of information on individuals and companies. Newspaper articles, online blogs, and social media are accessible and filterable with one click and may reveal important news on a ...