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Keywords: Anti-money laundering (AML)
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Journal Articles
Strengthening AML/CFT controls of digital payment token service providers in Singapore
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2021) 22 (4): 370–376.
Published: 29 September 2021
...@drewnapier.com © Drew and Napier LLC. 2021 Drew and Napier LLC. Licensed re-use rights only Singapore Anti-money laundering (AML) Cryptocurrency Payments Countering the financing of terrorism (CFT) Digital tokens On 26 March 2021, the Monetary Authority of Singapore (MAS) issued...
Journal Articles
Is your anti-money laundering program ready for FinCEN’s Customer Due Diligence Rule?
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (2): 42–44.
Published: 11 July 2018
... Institutions (the CDD Rule). Design/methodology/approach The paper explores the origins of the anti-money laundering (AML) requirements and then explores the new CDD Rule requirements as outlined by FINRA Regulatory Notice 17-40. Findings Firms are likely largely already in compliance with most aspects...
Journal Articles
SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (3): 41–43.
Published: 04 September 2017
...) Broker-dealers Anti-money laundering (AML) Registered representatives Suspicious Activity Reports (SARs) On January 25, 2017, the Securities and Exchange Commission (“SEC”) announced administrative proceedings against New York-based brokerage firm Windsor Street Capital (“the Firm”) and its...
