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SEC Issues AML Risk Alert

The SEC’s Division of Examinations is continuing to stress the importance of AML and BSA compliance. If you haven’t seen it, the Division issued a Risk Alert in late March highlighting AML deficiencies it identified in their reviews of broker-dealers and mutual funds. Inadequate AML… Read More »SEC Issues AML Risk Alert

Updates to FATF Grey List

During the FATF plenary sessions in late February, the organization added the following countries to their “grey list” (i.e., those countries under increased monitoring): Burkina Faso, the Cayman Islands, Morocco and Senegal. Note also that Iceland and Mongolia, due to improvements in their AML/CFT regimes,… Read More »Updates to FATF Grey List

What AMLA 2020 Means to FinTechs

The Anti-Money Laundering Act of 2020, which went into effect in January 2021, is the most sweeping change to the AML regulations since the passage of the PATRIOT ACT in 2001. Check out an article we wrote about AMLA 2020, which was published in Traders Magazine.

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