For financial services firms understanding who the Ultimate Beneficial Owner (UBO) of a corporation is has become a central compliance task.
As Ellen Lafferty explains in this podcast and in the new edition of The Complete...more
1/29/2020
/ Banks ,
Beneficial Owner ,
Business Ownership ,
Compliance ,
Controlling Stockholders ,
Customer Due Diligence (CDD) ,
Exceptions ,
Financial Institutions ,
Financial Services Industry ,
Legal Entities ,
Policies and Procedures ,
Publicly-Traded Companies ,
Verification Requirements
Heidi Rudolph, Managing Director at Morae Global, has spent a great deal of time considering technology’s role, risks and rewards for compliance teams. She contributed an article...more
Mark Lanterman, Chief Technology Officer of Computer Forensic Services lives technology at its most terrifying, helping organizations manage the risks of the IT we all use constantly.
Recently he authored an article...more
1/7/2020
/ Business Strategies ,
Chief Compliance Officers ,
Compliance ,
Crisis Management ,
Cyber Attacks ,
Cyber Incident Reporting ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Data Security ,
Incident Response Plans ,
Information Technology ,
Passwords ,
Policies and Procedures ,
Public Relations ,
Risk Management ,
Risk Mitigation
Michael Horowitz, the Inspector General at the US Department of Justice, has long been involved in the compliance community and even served as a member of the advisory board of the Society of Corporate Compliance &...more
12/10/2019
/ Chief Compliance Officers ,
Compliance ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Document Requests ,
Evidence ,
Information Reports ,
Inspector General ,
Internal Investigations ,
Interviews ,
Policies and Procedures ,
White Collar Crimes ,
Witness Statements