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Q&A: Are You Ready for FATCA, Phase 2?

October 13, 2014 by Eugene Grygo

(Editor’s note: Firms are moving into the second major phase of meeting the requirements of the Foreign Account Tax Compliance Act (FATCA). FTF News spoke to Micah Willbrand, the London-based director, global AML product marketing at NICE Actimize, about the changes firms are making as a result of FATCA compliance. For now, firms have some… Read More >>

Filed Under: Opinion, Q&As Tagged With: AEI, AML, CIS, compliance, data, FATCA, FFI, GIIN, IGA, IRS, KYC, Micah Willbrand, NICE Actimize, SEPA

SWIFT’S KYC Registry Free for Participants

September 30, 2014 by Eugene Grygo

Financial messaging and services cooperative SWIFT will offer free access to its KYC (know your customer) Registry throughout 2015 for those banks that contribute their own institutional KYC data. SWIFT made the announcement at its SIBOS exhibition and conference, being held at the Boston Convention & Exhibition Center from Sept. 29 to Oct. 2. The… Read More >>

Filed Under: General Interest, KYC, Industry News Tagged With: AML, FATCA, KYC registry, Luc Meurant, SIBOS 2014, SWIFT

Culture of Compliance for AML Lacking

June 19, 2014 by Ryan Boysen

Less than half of all respondents in a recent poll of compliance professionals at financial institutions say their firms are doing a solid job of complying with anti-money laundering (AML) regulations and laws, and most survey participants don’t expect that state of affairs to change in the near future. The results come at a time… Read More >>

Filed Under: AML/Fraud/Financial Crime Tagged With: AML, anti-money laundering, compliance, NICE Actimize

Regulators Stress Money Laundering Systems as SWIFT Lines Up Heavy Hitters for KYC Registry

February 26, 2014 by Eugene Grygo

Regulators Putting Too Much Stress on Money Laundering Systems: SWIFT Panelist The “very hot” issue of money laundering has captured the attention of the SEC and FINRA, among other regulators and they making having anti-money laundering (AML) systems in place such a high priority that “everything leads to money laundering” for them, says a panelist… Read More >>

Filed Under: General Interest, KYC, AML/Fraud/Financial Crime, Industry News Tagged With: AML, SWIFT, Tokyo Stock Exchange

Ops Risk and Compliance in an Age of Scandal

July 25, 2013 by Eugene Grygo

Operational risk and compliance staffs are surely on alert after federal prosecutors charged SAC Capital Advisors with criminal acts of fraud. This growing scandal closely follows the CFTC’s monetary penalties and one-year trading ban for high frequency trading firm Panther Energy Trading, which allegedly used algorithms to place buy orders and then swiftly cancel them to… Read More >>

Filed Under: Minding the Gap Tagged With: AML, CFTC, compliance, cyber crime, Financial Crime, operational risk, scandal

Financial Crime Update

July 23, 2013 by Eugene Grygo

A single IT platform may not be achievable for an anti-financial crime strategy because such frameworks have to prevent money laundering, promote sanctions compliance and provide quality data for know-your-customer requirements, according to panelists who took part in FTF’s Financial Crime & AML conference in New York last week.Financial crime prevention and mitigation requires financial… Read More >>

Filed Under: Outsourcing Tagged With: AML, anti-money laundering, FATCA, Financial Crime, Financial Crime & AML Conference, KYC

Some Pointers in the War on Financial Crime

July 19, 2012 by Eugene Grygo

Much about financial crime is troubling because it’s detected after the fact as a speaker said at FTF’s 2nd Annual Financial Crime & AML event yesterday. The speaker also said that an individual who is hell bent on committing financial crime is almost impossible to stop. Yet despite the headlines about HSBC’s failings in this… Read More >>

Filed Under: Minding the Gap Tagged With: AML, HSBC, SWIFT

Q&A: The Ever-Tougher Task of Detecting Financial Crimes

July 10, 2012 by Eugene Grygo

(Editor’s note: Jaswal, who works in Celent’s Securities and Investments division, has developed an expertise in derivatives, electronic trading, market infrastructure and regulation, and commodity markets. Before joining Celent, Jaswal worked in corporate banking at UTI Bank, research and consulting for AC Nielsen ORG-Marg, and insurance at ICICI Prudential Life Insurance. Financial Technologies Forum will… Read More >>

Filed Under: Opinion, Q&As, AML/Fraud/Financial Crime Tagged With: AML, Celent, Financial Crime

Time to Disrupt Your AML System?

February 23, 2012 by Eugene Grygo

Anti-money laundering (AML) for financial services firms is evolving as they broaden their usage of the behavior detection at the heart of AML and begin to consolidate AML and anti-fraud platforms. Firms may also see their governments refine AML and related policies as a result of the latest recommendations of a standards body urging countries… Read More >>

Filed Under: Minding the Gap Tagged With: AML, anti-money laundering, Celent, Eugene Grygo, Minding the Gap, Neil Katkov

Q&A with Babson Capital

November 2, 2011 by Eugene Grygo

Jason Vazquez is the director and global AML (anti-money laundering) and Financial Crimes Prevention Officer for Babson Capital Management, a global investment management firm that is part of the MassMutual Financial Group. Vazquez oversees the firm’s AML and anti-corruption compliance and economic and trade-based sanctions requirements. He helps coordinate activities among the firm’s compliance and… Read More >>

Filed Under: Opinion, Q&As, AML/Fraud/Financial Crime Tagged With: AML, Financial Crime

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