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Month: January 2019

January 28, 2019May 26, 2019

Regulatory Lag & Drag – Are There FinTech Solutions?

FinTech, Financial Crimes, and Risk Management by Jim Richards0 comments

The RegTech, SupTech, and FinTech communities are focused on developing new technologies to speed up, simplify, and streamline financial institutions’ […]

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January 27, 2019January 13, 2023

The Southwest Border(s) – Some Background to Inform the Debate

General Business, Risk, and Life by Jim Richards0 comments

To understand the current broo-haha about “The Wall”, you need to understand two things. First, a bit about the Mexico […]

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January 17, 2019May 26, 2019

Here is Cannabis, Where is Congress? Without Laws, Regulations, and Clear Guidance, the Financial Sector Is Rightfully Reluctant to Bank Cannabis Businesses

Cannabis/Marijuana by Jim Richards0 comments

On September 12, 2018 I posted an article titled “Cannabis, Congress, and Courage – Why Banks are not Banking Marijuana […]

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January 17, 2019May 26, 2019

The National Hockey League is considering a major rule change for the 2019-2020 season – one player from each team will be required to call penalties on his own team!

AML Regulations and Enforcement Actions by Jim Richards0 comments

The size of an NHL ice surface – 200 feet by 85 feet – hasn’t changed in 100 years.  Yet […]

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January 14, 2019May 26, 2019

Managing Through Change – How to Survive and Succeed

General Business, Risk, and Life by Jim Richards0 comments

“If you don’t like change, you’re going to like irrelevance even less.” – General Eric Shinseki “New ideas pass through […]

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January 11, 2019May 26, 2019

Managing Meetings – How to Increase Your Effective Staffing Level by 25% … Without Adding Any Staff!

General Business, Risk, and Life by Jim Richards0 comments

How many of us dread those needless conference calls where the first ten minutes are spent re-capping what was just […]

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January 10, 2019May 26, 2019

California Chaos – Not Only do California’s Cannabis Regulations Make Banking Cannabis Businesses Almost Impossible, They Squandered a Perfect Opportunity to Embrace Regulatory Innovation

Cannabis/Marijuana by Jim Richards0 comments

There is a big push in the FinTech/RegTech (SupTech) space to digitize regulations. One of the biggest hurdles to doing […]

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January 7, 2019November 12, 2021

2018 National Money Laundering Risk Assessment – AML 2018 Looks Very Similar to AML 2015

AML Regulations and Enforcement Actions by Jim Richards0 comments

On December 20th the Treasury Department released its National Illicit Finance Strategy (something required under the Countering America’s Adversaries Through […]

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January 3, 2019December 13, 2019

CRA-like Evaluations for Banks’ BSA/AML Programs? Let’s Give Banks Some Credit for Building and Maintaining an Outstanding BSA Program!

AML Regulations and Enforcement Actions by Jim Richards0 comments

The only time the public (and Congress) hears about a bank’s BSA program is when the program has failed and […]

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Recent Posts

  • Richards Comments on Proposed Beneficial Ownership Access Rule – December 2022
  • BSA, Bittner, and FBARs – Forty Questions from The Supremes
  • Beneficial Ownership Database – Now That We Know What Goes In, Let’s Turn to What Will Come Out
  • Beneficial Ownership Information Reporting – Will it Reduce Financial Crimes?
  • BSA/AML Policies and Procedures – What Can We Learn From Mary Berra and the Founding Fathers?

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