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What Is Transaction Monitoring & Why Do You Need It?

What Is Transaction Monitoring & Why Do You Need It?

Posted on: May 7th, 2018 by Julie

The fundamentals of a transaction monitoring system is to identify and protect a financial service center from transactions that are not compliant with the Bank Secrecy Act (BSA), anti money laundering (AML) rules and regulations and the Office of Foreign Assets Control (OFAC). A transaction monitoring system is necessary because it is almost impossible to […]

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FinCEN New CDD Rule: What is the “Fifth Pillar”?

FinCEN New CDD Rule: What is the “Fifth Pillar”?

Posted on: May 7th, 2018 by Julie

The Financial Crimes Enforcement (FinCEN) Network issued its Final Rule for Customer Due Diligence (CDD) under the Bank Secrecy Act (BSA) on May 11, 2016 with an implementation date of May 11, 2018. Covered financial institutions must identify at least a beneficial owner under the control criterion for each legal entity customer. Covered financial institutions […]

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Improve Your BSA/AML Compliance Productivity with the Upgraded Compliance Management Portal

Improve Your BSA/AML Compliance Productivity with the Upgraded Compliance Management Portal

Posted on: February 6th, 2018 by Julie

The Capital Compliance Experts have upgraded the Compliance Management Portal with a new user-friendly interface that boosts productivity with intuitive navigation and new features that enhance the already comprehensive tool. Portal Features Include: Automated Transaction Monitoring- New tool Online Employee Training- New courses available Digital Monitoring Logs Calendar Reminders- New functionality Document Storage CTR/SAR Filing […]

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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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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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