Nos complace anunciar que nuestros increíbles servicios de cumplimiento y soluciones tecnológicas ahora están disponibles con asistencia en Español. Entendemos que el cumplimiento normativo puede ser abrumador y si las cartas, los documentos y la capacitación no están en el idioma con el que se siente cómodo, eso intensificará el desorden. Con nuestra ayuda en […]
What’s Your Compliance Personality? There are countless things we have learned from being in financial services for over 40 years, but one of the most valuable is how to develop and improve compliance services and technology solutions based off of the needs of the many personalities that we have worked with along the way. We […]
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 […]
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, […]
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, […]
