Category Archives: Financial Crime

For Bitcoin, a Roller Coaster With a Silver Lining?

Guest Contributor: Julie Conroy, research director, Aite Group Establishing a new, non-sovereign digital currency is not for the faint of heart. Bitcoin, the poster child for cryptocurrencies, has weathered a barrage of ups and downs over the last six months … Continue reading

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Six Necessary Steps for Anti-Bribery and AML Screening Improvement

Guest Contributor:Henry Balani, Managing Director at BankersAccuity’s Risk and Compliance Group In an era of enhanced scrutiny, larger fines and the ongoing internationalization of anti-money laundering (AML) and anti-bribery regulations, organizations are facing increased risk and numerous challenges in achieving … Continue reading

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Financial Crime & AML Compliance – Event Wrap-Up

We recently held our 2nd Annual Financial Crime & AML Compliance Breakfast event on July 18th, and we couldn’t have asked for better timing!  With so many recent AML investigations including ING, HSBC and the Vatican, we knew the sessions … Continue reading

Posted in Compliance, Conference and Event Planning, Financial Crime, Financial Technologies Forum (FTF) | 1 Comment

Featured Speaker from FINRA Enforcement

We are pleased to have Sarah Green, Senior Director in the Enforcement Division at FINRA sitting on a panel at our upcoming 2nd Annual Financial Crime & AML Compliance breakfast briefing on July 18th.  Sarah specializes in anti-money laundering (AML) … Continue reading

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Is Your Fund Politically Intelligent?

Thanks to the upcoming presidential election, we have been flooded with campaign ads and promises from each candidate.  So, I started to think about how the upcoming election will affect the financial services industry.  With so much new regulation and … Continue reading

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Catching Up to Fraud

I have to admit, I’ve never really thought about what steps go into catching the masterminds behind financial crime.  I’ve heard all about firms upping their compliance and updating their strategies to catch suspicious activity internally, but I have never … Continue reading

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Mobile Technology – Helpful or Hurtful?

Mobile technology is currently a hot topic for the financial services industry. Many industry publications, including our own FTF News, have written special reports (I will link Eugene’s article here) exploring the growing mobile technology space and the new prospects … Continue reading

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Fun Friday! Financial Crime & AML Word Search

In honor of our upcoming Financial Crime & AML Compliance Breakfast Briefing in NYC on July 12th we have a financial crime related word search for you all today.  Just print this post and let the searching begin! Happy Friday! … Continue reading

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FTF Heads to Boston – Securities Ops Seminar Wrap-Up

In case you weren’t following our live updates on twitter last week (#FTFSecOps), I thought I would bring you up to speed on the issues discussed at our Securities Operations Seminar in Boston last week.  The day got kicked off … Continue reading

Posted in Compliance, Conference and Event Planning, Dodd-Frank, Financial Crime, Financial Technology, Securities Operations | Tagged , , , , , | Leave a comment

Investment Advisers- Are They Willing to Pay Up to Keep FINRA Out?

There has been a lot of talk lately about FINRA taking the supervision responsibilities for investment advisers away from the SEC. Overall, the SEC is looking to find a way to monitor the investments adviser’s and prevent future scandals, such … Continue reading

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