Tag Archives: AML Monitoring

Anti Money LaunderingArtificial IntelligenceCompliance ManagementIT Risk ManagementLa MeerReg BIRegulationsVendor Risk ManagementWealth Management

La Meer presents webinar on “Build customer’s trust in rapidly changing world of AI, crypto, regulations”

La Meer Inc. organized the webinar on the important topic of “Build customer’s trust in rapidly changing world of AI, crypto, regulations” yesterday with intense discussions between Carmela Ravi, Harriet Britt and Laxmi Ramanath well moderated by Jonathan Gagnon The many topics discussed included The video recording of the webinar is available on this link […]...

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SEC Division of Examination issues Risk Alert on AML for Broker-dealers

OBSERVATIONS FROM ANTI-MONEY LAUNDERING COMPLIANCE EXAMINATIONS OF BROKER-DEALERS Issued on July 31, 2023 https://www.sec.gov/files/risk-alert-aml-compliance-examinations-bd-073123.pdf Before discussing those specific observations, the Division would like to highlight two other, more general staff observations about registrants’ AML programs. First, Some registrants did not appear to devote sufficient resources, including staffing, to AML compliance given the volume and risks […]...

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