SEC Climate Disclosure Rule - Final Rules
Articles, research and insights.
Article - 3 minutes read
Hong Kong: virtual asset service providers take shape
Following the public consultation on the legislative proposals to introduce a new licensing regime for virtual asset services providers (VASP) which aims to enhance AML/CTF regulation in Hong Kong, the FSTB issued the conclusions of the public consultation (“Consultation Conclusions”) on 21 May [1].
Article - 5 minutes read
Flooding: Challenges and consequences for mortgage lenders
With unprecedented increases in floods combined with homeowners' low flood insurance enrollment rates, mortgage lenders need to anticipate and mitigate the consequences.
Article - 4 minutes read
Financial Institutions - Country Solutions to Manage AML Risk
Choosing an appropriate Country Risk Model is an essential part of effectively combating potential money laundering & terrorist financing. This article serves to provide what to look for when choosing a Country Risk Model.
Article - 4 minutes read
Decoding the Bank Secrecy Act & AML Manual
On June 21, 2021, members of the FFIEC released several updated sections and related examination procedures to the Bank Secrecy Act/Anti-Money Laundering Examination Manual that provide instructions to examiners when assessing the adequacy of a bank’s BSA/AML compliance program.
Article - 11 minutes read
Key Focus Areas From 2021 SEC and FINRA Priorities Reports
FINRA and the SEC published their annual Risk Monitoring and Examination Reports highlighting the focus areas that member firms will be evaluated on this year. We will cover several focus areas as well as fines that the two regulators levied on their members in Q4 2020, and discuss trends for 2021.
Article - 6 minutes read
How Does the Digital Customer Journey Compare in the Insurance Sector
A Benchmark of the Digital Customer Journey in Insurance when using a Smartphone.