Tag Archives: regulator

Dire warnings

They say that if you can’t be a good example, then aim to be a dire warning instead.  And this is always the spirit in which I have read reports of “findings” – the more palatable term for regulatory punishments.  … Continue reading

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The FCA’s to do list for this year

This week the UK’s Financial Conduct Authority has looked into its crystal ball and published its “Business Plan 2015/16”.  Whereas previous editions of this document were accompanied by a Risk Outlook, this time the two have been united into one … Continue reading

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Too many cooks?

At a recent regulatory shindig in Washington (again, DC rather than Tyne and Wear), Citigroup chairman Michael O’Neill called for America’s banking regulators to merge into a single banking watchdog and referred to the current fragmented regulatory regime as a … Continue reading

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Standard-bearer no longer

I once had a very scary Latin teacher – scary because she could tell you off for doing something when she had her back turned while writing on the blackboard.  (She later confessed that she kept an eye on us … Continue reading

Posted in AML, Due diligence, Money laundering | Tagged , , , , , | 2 Comments