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Breaking Down the New York Part 504 Regulation

Breaking Down the New York Part 504 Regulation

Posted on: January 30th, 2018 by Julie

The New York State Department of Financial Services (NYS DFS) enacted a new AML regulation, Part 504. In response to the shortcomings identified in transaction monitoring, the NYS DFS, which regulates financial, insurance, and banking industries in New York, ruled that the Banking Division Transaction Monitoring, Filtering Program Requirements and Certifications lacked robust governance, oversight, […]

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Breaking Down the BSA/AML Risk Assessment

Breaking Down the BSA/AML Risk Assessment

Posted on: January 30th, 2018 by Julie

Recently, our CAMS consultants have notice an up-rise in examiners requesting BSA/AML Risk Assessment Reviews from our customers. Although a risk assessment is nothing new, the rules and regulations are, and a risk assessment allows a financial institution to establish a more comprehensive Anti-Money Laundering (AML) Compliance Program. WHAT IS A BSA/AML RISK ASSESSMENT? By […]

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Official Launch: Automated Transaction Monitoring Tool- Compliance IQ

Official Launch: Automated Transaction Monitoring Tool- Compliance IQ

Posted on: January 24th, 2018 by Julie

Capital Compliance Experts has officially released their innovative automated transaction monitoring tool – Compliance IQ. The patent pending automated monitoring tool is a comprehensive solution that reinforces compliance management processes by identifying high risk activity. The automated transaction monitoring tool drastically reduces the time it takes to review countless transactions through automated analysis of data, […]

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Compliance Technology Expertise Joins Capital Compliance Experts

Compliance Technology Expertise Joins Capital Compliance Experts

Posted on: January 8th, 2018 by Julie

As part of our¬†partnership with Global Compliance Systems (GCS), we get the pleasure of working with their arsenal of talent. Chris Kawula is an accomplished senior executive with broad general management experience in financial services. He has a deep understanding of retail networks, service providers and their unique compliance needs.¬† It is this knowledge, experience […]

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