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Banking | Finance
Continuous Compliance Improvement Using Psychology and Behavior
Although building a culture of compliance has been a goal and topic of discussion at many companies for several years, creating a sustainable culture of compliance requires that companies regularly re-evaluate compliance strategies and tactics. This helps compliance professionals remain vigilant...
Read MoreFinancial Institutions | Finance | Hedge Funds
Hedge Fund Scrutiny Continues: Heightened attention is driving up costs and increasing transparency
As the hedge fund industry has matured, regulation of funds has intensified, particularly since the global financial crisis beginning in 2008. Kelli Moll, who has been working with fund clients for more than 20 years, provides her perspective on where things stand regarding regulation and...
Read MoreBanking | Finance
Investment Advisors Facing Treatment as Financial Institutions: Added filing and reporting responsibilities on the horizon
The Financial Crimes Enforcement Network (FinCEN), a bureau of the Treasury Department, has issued a notice whereby it intends to require certain investment advisors to establish anti-money laundering programs (“AML”) and reporting of suspicious activity pursuant to the Bank Secrecy Act...
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