SEC Division of Examinations Releases 2026…
Publications
Articles, research and insights.
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Article 3 minutes read
Do Banks have an AML Problem with IOLTA?
IOLTA provides Financial Institutions the means of assisting lawyers by pooling the accounts of their under-privileged clients to reduce their legal expenses.
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Article 9 minutes read
The EU Fifth AML Directive: Directive (EU) 2018/843
The fight against money laundering and terrorist financing has become increasingly difficult over the years with criminals having shown adaptability and opportunism in finding new channels to launder the proceeds of their illegal activities.
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Article 7 minutes read
Stock market: Robo Advisors Performance & Consequences
The outbreak and rapid proliferation of the coronavirus pandemic rattled global financial markets in the first quarter of 2020.
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Article 9 minutes read
Foreign Corrupt Practices Act (“FCPA”): What to Know for 2017
The FCPA’s jurisdiction has been expanding for the past decade. Non-U.S countries now need to be aware of this crucial American regulation. A strong FCPA compliance program and a “culture of compliance” can help your firm successfully face the challenges presented by the FCPA domestically and abroad
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Article 8 minutes read
Surge in sanctions increases need for compliance services
During President Trump’s administration, the US has seen a surge of sanctions against various nations, entities and individuals.
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Article 5 minutes read
Interview with Wilson TANG - Chief Executive Officer - Hang Seng Insurance
ABOUT HANG SENG INSURANCE