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Oct 20th, 2021

BSA Regulatory Implications for Payroll via Digital Currencies

Written by: John Ashley, CIPP/US, CRCMP Consultant with Bates Group, LLC Background The last two years have seen a proliferation…

Sep 30th, 2021

Finding the Risk in KRIs

Many financial institutions and fintechs of all types have some sort of exception reporting as part of their periodic KRI…

Sep 28th, 2021

Monitoring or Performing Quality Control on a Function that’s “In-Flight”

Brandi B. Reynolds, CAMS-Audit, CCI, CCCE We’ve all been on one (or both) sides of this equation at some point…

Sep 21st, 2021

Enhanced Procedures for Issuing Internal Reports

It starts with an audit finding: Assume for this article that you’re a new compliance, AML, or fraud officer who…

Sep 4th, 2021

Tips and Tricks for Policy and Procedure Development

If your business operations as a money transmitter or another money services business require BSA/AML (Bank Secrecy Act/anti-money laundering) compliance,…

Aug 10th, 2021

The New Colorado Privacy Law and What it Means to You

On July 7, 2021 the state of Colorado became the third U.S. state to have a comprehensive consumer privacy law,…

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