Regulatory Compliance Journal
MiFID (Markets in Financial Instruments Directive) was put into force in November 2007 and was created with the objectiv...
- 3 min read
An audit trail (also called audit log) is a relevant chronological recording of actions, a set of files, or the destinat...
- 3 min read
Conduct Risk has been the hot topic during the past few years and its scope falls outside the traditional domains of ris...
- 2 min read
By targeting approximately 1.7 billion people around the world who do not have access to a traditional bank account, the...
- 6 min read
On 24 September 2019 the European Court of Justice (ECJ) released a preliminary decision according to which Google is no...
- 4 min read
Insurance/reinsurance companies play an important role for the European economy. Many European countries, among them Be...
- 8 min read
With the rise of environmentally and socially conscious consumers, companies are under more pressure than ever to prove ...
- 10 min read
The Corporate sustainability reporting guideline (CSRD) is a new European regulation designed to enhance corporate tran...
- 6 min read
Over the past years, the golden visa has seen a surge in participation in its programmes. But along with its rising popu...
- 14 min read
A top-down approach highlights the behaviour of regulatory changes in the financial institution and helps the Compliance...
- 3 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
In 2017, the European Council emphasized the need to address artificial intelligence (AI) trends while maintaining high ...
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- 8 min read
In the past decade, a series of leaks from insider sources have shed light on the complex systems of money laundering, t...
- 11 min read
On March 12 2019, the European Parliament and European Union Member States made a provisional agreement on how to protec...
- 9 min read
In today's corporate environment, transparency and ethical conduct are crucial, making whistleblowing channels vital ...
- 10 min read
Faced with the urgent challenge of climate change, green bonds are emerging as an innovative response to finance sustain...
- 11 min read
16 articles matching transparency tag
How the EU’s DSA and DMA are redefining digital platform regulations
The Big Four of technology—Google, Amazon, Facebook, and Apple—have become integral to our daily lives, influencing everything from simple online searches to the handling of our personal data. With their growing dominance and impact, these internet giants wield a level of power that has pl...
- 8 min read
SEPA Instant Payments : understanding the requirements and deadlines of regulation 2024/886
The silent payments revolution is finally upon us. With the first compliance date of Regulation 2024/886 set for January 09, 2025, instant payments are set to become an integrated part of day-to-day banking. The Instant payment regulation (IPR) was voted on 13/03/24 and was effective by 08/04...
- 6 min read
How are gatekeepers used for money laundering?
In the world of finance, gatekeepers such as accountants, and lawyers are meant to safeguard against financial crime. Yet, these very players can sometimes become unwitting—or even complicit—partners in money laundering schemes. The expertise that makes these professionals indispensable to ...
- 9 min read
How to improve compliance culture?
A strong compliance culture helps to establish the foundation for a lasting positive impact for a company, its employees, and its clients by achieving ethical practices, clear values, and the respect of local and international legislation. Despite its benefits and legal necessity, most companie...
- 7 min read
How to set up a conflict of interest program
Imagine a situation in which the integrity of your organisation is corrupted by personal gain – how would you respond? In the field of business ethics, a strong conflict of interest program is the cornerstone that keeps an organization's reputation intact. With it, transparency isn't ju...
- 10 min read
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AML - KYC : Impacts of the 4th AML Directive (AMLD4)
Compliance, Financial firms, KYC, AML, Financial Sanctions, Politically Exposed Persons, Europe, EU, European Commission, Anti Money Laundering,What will be the impacts of implementation of the Fourth AML EU Directive (2015/849) ?Since 1991, the European Union has regularly implemented new anti-money laundering directives. On the 20th of May 2015, the European Parliament and the Council issu...
The Banking Industry & Regulatory Compliance Requirements
Financial operations, Financial Institutions, Compliance, Financial firms, Top-down, Insurance, Belgium,Compliance risk is one of the biggest concerns of the banking industry. Failing to comply can have an impact on the reputation of the brand and create a decrease in its customer population. Lack of due diligence in transactions and clients monitoring...
How is e-commerce used for money laundering?
5AMLD, Anti Money Laundering, Compliance, Money Laundering, European Commission, Digital, KYC, Red Flags, Transaction Monitoring,With the convenience of online shopping and the ability to purchase goods and services from anywhere in the world, e-commerce has revolutionized the way we do business. The COVID-19 pandemic has only accelerated this trend, forcing many businesses to...