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Category: FinTech, Financial Crimes, and Risk Management

November 21, 2019November 21, 2019

Like Sam Loves Free Fried Chicken, Law Enforcement Loves “Free” Suspicious Activity Reports … But What If Law Enforcement Had to Earn the Right to Use the Private Sector’s “Free” SARs?

AML Regulations and Enforcement Actions by admin0 comments

“Well, I’m here in the freezing cold getting’ free chicken sandwiches. Because the food tastes great. I mean, it’s chicken. […]

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November 11, 2019November 12, 2019

A Bank’s Bid for Innovative AML Solutions: Innovation Remains A Perilous Endeavor

FinTech, Financial Crimes, and Risk Management by admin0 comments

One Bank Asked the OCC to Have an “Agile Approach to Supervisory Oversight” On September 27, 2019 the OCC published […]

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October 28, 2019October 28, 2019

The Current BSA/AML Regime is a Classic Fixer-Upper … and Here’s Seven Things to Fix

FinTech, Financial Crimes, and Risk Management by admin0 comments

There is a lot of media attention around the need for a new way to tackle financial crimes risk management. […]

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August 19, 2019August 19, 2019

FinCEN’s BSA Value Project – An Effort to Provide Actionable Information for SAR Filers

AML Regulations and Enforcement Actions by admin0 comments

Two Million SARs are Filed Every Year … But Which Ones Provide Tactical or Strategic Value to Law Enforcement? On […]

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August 19, 2019August 22, 2019

The WayBack Machine … and the Marihuana Problem in New York (circa 1944) – updated with the OFAC Fentanyl Drug Trafficking Organization Designation of August 21, 2019

Cannabis/Marijuana by admin0 comments

One of the greatest investigative tools available today is the Internet Archive, a “non-profit library of millions of free books, […]

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June 5, 2019

BSA Reports and Federal Criminal Cases – What’s the Connection?

FinTech, Financial Crimes, and Risk Management by admin0 comments

54,000 Federal Criminal Cases … and 20,000,000 BSA Reports If the question is “how many BSA reports are used in […]

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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 admin0 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 admin0 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 2, 2019May 26, 2019

The “Ice Cream Social” Bandit – Former Bank Cash Vault Manager Stole $4.3 Million

FinTech, Financial Crimes, and Risk Management by admin0 comments

Former Bank Cash Vault Manager Sentenced to 10 Years in Federal Prison for Stealing over $4 Million – Case Reveals […]

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January 28, 2019May 26, 2019

Regulatory Lag & Drag – Are There FinTech Solutions?

FinTech, Financial Crimes, and Risk Management by admin0 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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  • Corporate Transparency Act: Shell Companies, Shelf Companies, and Front Companies (and SPACs)
  • Capital One’s $390,000,000 BSA/AML Penalty – Are We Asking the Right Questions?
  • Measuring Illicit Financial Flows – Getting Closer to a True Estimate of Global Money Laundering
  • The Corporate Transparency Act of 2020 … The Good, The Bad, and the Ugly
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