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4227 Results from /regulation

Ronen Cojocaru

Ronen Cojocaru CEO and Co-Founder at 8081.io

Recent Moves By SEC Pose Potentially Good News for Greater Global Acceptance and ETF User Adoption

The recent paradigm shift towards a more regulated and trustworthy environment by the Securities and Exchange Commission (SEC) lays an important foundation for retail users and institutions to wholeheartedly re-embrace the emerging era of digital assets and spark renewed interest in ETFs. To comprehend what is driving this it is crucial to rea...

/regulation /crypto Cryptocurrency Insights

Francesco Fulcoli

Francesco Fulcoli Chief Compliance and Risk Officer at Flagstone

HM Treasury Advisory Notice: NEW High Risk Third Countries List!

Francesco Fulcoli - Chief Compliance Officer and MLRO The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 require the UK regulated sector to apply enhanced customer due diligence in relation to high-risk third countries. Regulation 33(1)(b) of the MLRs requires regulated businesses to apply en...

/payments /regulation Fintech

Steve Marshall

Steve Marshall Director of Advisory Services, at FinScan

What haven’t we learned? The Binance money laundering debacle tells us there’s a long way to go

Those of us in the financial crimes compliance profession look at the current fiasco with Binance’s recent money laundering guilty plea (among many other accusations) and ask ourselves “How could this happen?” We believe that with contemporary policies, procedures, and technology, this could not happen. But it can—and does—when we forget that key ...

/regulation /crime

Alexandre Semenov

Alexandre Semenov Customer Solutions Lead at SAS

Model Management in 2024: What You Need to Know to Prepare for E-23 Guidelines

July 1, 2025 marks the scheduled implementation date for the forthcoming regulatory adjustments. Since its launch in September 2017, the Office of the Superintendent of Financial Institutions (OSFI) has embarked on a commendable journey towards instating standardized protocols within the financial industry. These initiatives have, over time, contr...

/regulation /predictions Regulatory Reporting

Chiara Gelmini

Chiara Gelmini Industry Principal Director - Customer Risk & DD at Pegasystems

Low-hanging fruits in transforming AFC and AML with GenAI and Integrated Case Management

The two challenges everyone experience and the two answers you have been looking for in financial crime management The financial industry is under constant scrutiny from regulatory bodies, pushing for rigorous compliance with Know Your Customer (KYC), Anti-Money Laundering (AML), and Anti-Financial Crime (AFC) regulations. As we all know, these reg...

/regulation /crime Artificial Intelligence and Financial Services

Daoud Hadi

Daoud Hadi Lead Data Scientist at Eastnets

The double-edged sword of AI in financial regulatory compliance

Global money laundering is estimated to account for a staggering two to five per cent of the world’s GDP, equivalent to up to $2 trillion. In response, regulatory bodies are tightening the noose on financial crime by implementing increasingly stringent regulations and laws. As they do so, many financial institutions are turning to AI in a bid to sp...

/regulation /crime

Erica Virlan

Erica Virlan Vice President at Salt Edge

Open banking’s transformative benefits for the audit industry

In the world of auditing, professionals are no strangers to an array of difficult challenges that can sometimes significantly impact their efficiency and accuracy. The journey begins with a limited view of a client's entire financial transaction history, frequently resulting in a laborious process of obtaining further transaction details at a spee...

/regulation Open Banking

Karim Ben-Jaafar

Karim Ben-Jaafar SVP, Software Solutions at Quadient

Easing auditing headaches: Accounts teams cannot delay the move to digital any longer

In the last few years, we’ve seen audit errors cause serious consequences. These aren’t simple fines for late accounts: it’s been impossible to ignore a string of names from the worlds of fashion (Superdry) and advertising (M&C Saatchi) having shares suspended by stock exchanges after missing auditing deadlines. This bigger-picture impact – c...

/regulation Financial Transformation

Cody Lott

Cody Lott Director, NA Corporate and REIT Solutions at Clearwater Analytics

Strategic Reporting in a Storm: Best Practices to Navigate Currency Market Fluctuations

In the ever-evolving landscape of global finance, institutions find themselves managing reporting challenges against changing currency markets, a surge in the U.S. dollar and geopolitical events. As the year comes to a close, the complexities associated with these dynamic conditions demand a closer look. Institutions can glean valuable insights fr...

/regulation

Stephan Wolf

Stephan Wolf CEO at Global Legal Entity Identifier Foundation

How the vLEI Enables Digital Verifiability in Financial and ESG Reporting and Beyond

The obligations on legal entities to increase their corporate transparency continue to evolve, most notably in ESG and financial reporting. For ESG to be truly credible, however, both as a subset of financial reporting and as a standalone requirement, a global climate information architecture is sorely needed. Creating such an architecture, howeve...

/regulation /identity Regulatory Reporting

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