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Month: May 2019

May 31, 2019May 31, 2019

“Get off the Pot on Pot!” – A Panel of (Two of) Three Judges of the 2nd Circuit Court of Appeals Suggests the Administration Needs to Act on Marijuana Rescheduling

RegTech by Jim Richards0 comments

Patients, Veterans, and African‐American businessman Challenge the DOJ and DEA on Marijuana Scheduling “This is the latest in a series […]

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May 30, 2019May 30, 2019

Online Scams – One Chicago Area Crime Ring Offered a Full Suite of Online Fraud Schemes

Money Laundering & Terrorist Financing - General by Jim Richards0 comments

The Big 4 Online Scams: Romance, Business Email Compromise, Job Offers, and Mystery Shopper The US Attorney’s Office for the […]

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May 30, 2019May 30, 2019

Artificial Intelligence – Who Is On The Hook When Things Go Wrong With Your AI System? You Are!

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

“Organisations and individuals developing, deploying or operating AI systems should be held accountable for their proper functioning” For all the […]

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May 26, 2019May 26, 2019

BigTech, FinTech, and the Battle Over Financial Services

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

BigTech vs FinTech – Which Will Replace Traditional Banks? Two recent papers have looked at the attributes, relative strengths and […]

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May 26, 2019May 26, 2019

Colorado: The Epicenter of Black Market Marijuana in the United States?

Cannabis/Marijuana by Jim Richards0 comments

Forty-two Individuals Arrested In One Of The Largest Black Market Marijuana Takedowns In Colorado History A two year investigation by […]

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May 21, 2019May 21, 2019

314(a) Information Requests – Can A Bank Research a Name in 4 Minutes or Less?

RegTech by Jim Richards0 comments

A call to action for all US financial institutions! On May 7, 2019, FinCEN published a “Notice and Request for […]

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May 18, 2019May 26, 2019

44% of UK Solicitors Tested Are Not Meeting ML/TF Regulatory Requirements – but Unlike Their American Counterparts, At Least They Have Regulatory Requirements

AML Regulations and Enforcement Actions by Jim Richards0 comments

A review by the UK’s Solicitors Regulation Authority (SRA) results in 44% of solicitor firms tested will be subject to […]

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May 17, 2019May 26, 2019

Regulators Testify on BSA/AML

AML Regulations and Enforcement Actions by Jim Richards0 comments

Sed quis custodiet ipsos Custodes But who will guard the guards themselves? – Roman poet and satirist Juvenal, c. 100 […]

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May 11, 2019May 26, 2019

The Plaintiffs Trump v Democrat-controlled House Committees’ Subpoenas

General Business, Risk, and Life by Jim Richards0 comments

One key question – do the Committees’ investigations have a valid legislative purpose? – brings Anti-Money Laundering investigations and legislation […]

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May 10, 2019February 5, 2023

FinCEN’s Advisories and Guidance – “Persuasive Precedential Effect”, Whatever That Means

AML Regulations and Enforcement Actions by Jim Richards0 comments

US-based AML practitioners are familiar with FinCEN Guidance and Advisories. Most are probably not sure what the differences are between […]

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  • 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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