Using Data in Compliance
Using Data in Compliance By Thomas Fox ,The Compliance Evangelist, Author The Department of Justice (DOJ) and Securities and Exchange Commission (SEC) have both made it clear that they expect companies to be more robust in their use of data analytics in compliance programs. This…
How to Prevent Money Laundering
How to Prevent Money Laundering By Alia Noor, FCMA, CIMA, MBA, Oxford fintech programme, GCC VAT Comp Dip,COSO Framework. Associate Partner Ahmad Alagbari Chartered Accountants, UAE Founder xpertsleague The UAE had implemented Anti Money Laundering/Countering the Financing of Terrorism measures as per the Financial…
Have you appointed your Money Laundering Reporting Officer (MLRO) ?
Have you Appointed your Money Laundering Reporting Officer (MLRO)? By Alia Noor, FCMA, CIMA, MBA, Oxford fintech programme, GCC VAT Comp Dip,COSO Framework. Associate Partner Ahmad Alagbari Chartered Accountants, UAE Founder xpertsleague Money Laundering Reporting Officer (MLRO) or Anti-Money Laundering Officer (AMLO) is a…
UAE Crackdowns AML Compliance Violators- Are you Next ?
UAE Crackdowns AML Compliance Violators- Are you Next ? By Alia Noor, FCMA, CIMA, MBA, Oxford fintech programme, GCC VAT Comp Dip,COSO Framework. Associate Partner Ahmad Alagbari Chartered Accountants, UAE Founder xpertsleague WHAT IS MONEY LAUNDERING/ ANTI MONEY LAUNDERING? “ Money Laundering -The…
Making an Effective Impact on Corporate Culture – Part V
Making an Effective Impact on Corporate Culture – Part V By André H. Paris, Brazil Professor, Compliance Consultant and Lawyer. SpiritSec’s Head of Compliance. Other experiment on memory that support these assumptions is the one conducted by the former cognitive psychologist Ulric Neisser ….
A Winter Billing Error and Compliance
A Winter Billing Error and Compliance By Thomas Fox ,The Compliance Evangelist, Author When will Technology replace Compliance Professionals? Never as all the evidence you need consider is a news item in which I was an active participant. The IT involved a $202,000+ billing notice…
Executives Acting in Bad Faith and the Role of the Board
“While the Company had a compliance program and a supporting control framework, they were not adequately implemented. Specifically, certain employees in some markets, some of whom were executives in those markets, acted in bad faith and knowingly failed to implement sufficient controls.”
5 Podcasts That Mattered in 2020
Tom Fox details five podcasts from 2020 that were the most significant for the compliance professional.
Compliance is Not the “Bogeyman”
Compliance is Not the “Bogeyman” By Theon Alleyne, CRCP, CCEP , USA Senior Managing Consultant,IBM A senior relationship manager at a US bank in Hong Kong, complained In an article: “Compliance is ruining my world”. My colleagues and I have heard similar statements in…
Everything You Wanted to Know About Monitors-Part 4
Everything You Wanted to Know About Monitors-Part 4 By Jay Rosen, CCEP Vice President, Business Development & Monitoring Specialist, Affiliated Monitors, Inc., USA How Much Will a Corporate Monitorship Costs? I will now look at the always controversial topic of monitorship costs and expenses. …
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