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Category: FinTech, Financial Crimes, and Risk Management

November 30, 2021December 18, 2021

FinCEN Exchange – Participants May Soon Be Fully Authorized!

AML Regulations and Enforcement Actions by Jim Richards0 comments

The FinCEN Exchange has gone through two versions: the implied, pre-AML Act of 2020 version, and the codified, post-AML Act […]

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November 12, 2021February 2, 2023

Crypto vs Fiat: Is One Or The Other More Of A Haven For Illicit Finance?

Crypto & Blockchain by Jim Richards0 comments

UPDATE: Since I published this article and posted it on LinkedIn about four hours ago, I’ve had many comments and […]

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December 11, 2020December 11, 2020

AML Act of 2020: Renewing America’s AML/CFT Regime

AML Regulations and Enforcement Actions by Jim Richards0 comments

Executive Summary of the AML Act of 2020 On December 3, 2020 the Senate and House jointly issued a Conference […]

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August 16, 2020August 16, 2020

A GAO Report on GTOs Reveals the Underlying Flaws In the Entire American BSA/AML Regime

AML Regulations and Enforcement Actions by Jim Richards0 comments

The General Accountability Office, or GAO, issued a Report on August 14, 2020 titled “FinCEN Should Enhance Procedures for Implementing […]

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June 14, 2020

AML360 Podcast – Jim Richards with Stephen Platt

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

On June 12, 2020 I enjoyed an hour with AML360 talk show host Stephen Platt. For an hour – live! […]

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June 2, 2020February 22, 2021

FinCEN’s Estimate of the Costs and Burden of Filing SARs Is Evolving, But Needs Private Sector Input

AML Regulations and Enforcement Actions by Jim Richards0 comments

For years, FinCEN has used a one-size-fits-all-SARs method of determining the costs and burden of filing Suspicious Activity Reports (SARs): […]

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May 14, 2020

FinCEN Director Ken Blanco is Crystal Clear on Virtual Currency Risks & Requirements

Crypto & Blockchain by Jim Richards0 comments

FinCEN Director Kenneth A. Blanco, delivered Prepared Remarks at the Consensus Blockchain Conference on May 13, 2020. They are available at Prepared […]

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April 7, 2020April 13, 2020

The CARES Act and the Paycheck Protection Program – We Know A Surge of Fraud is Coming, Let’s Prevent it Now

Beneficial Ownership & Customer Due Diligence by Jim Richards0 comments

SBA’s disaster loan programs suffer increased vulnerability to fraud and unnecessary losses when loan transactions are expedited to provide quick […]

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March 17, 2020

The Perfect Storm: More Alerts, Fewer Investigators, & More False Positives

AML Regulations and Enforcement Actions by Jim Richards0 comments

The Focus Has Always Been On the Increase in Fraud Natural disasters bring out the best in some people and […]

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March 9, 2020March 10, 2020

When it comes to BSA/AML compliance programs, success has a hundred fathers, but failure is, apparently, an orphan

AML Regulations and Enforcement Actions by Jim Richards0 comments

“FinCEN Penalizes U.S. Bank Official for Corporate Anti-Money Laundering Failures” In 1961 President John F. Kennedy commented on the failed […]

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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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