Compliance

Another Major Bank Fined…

Major Canadian bank, Bank of Nova Scotia, has been fined US$127,000,000(!!!) for compliance failures. Massive Canadian bank news!! Bank of Nova Scotia fined record US$127,000,000 by US CFTC just now for spoofing, and compliance failures related to its trading at global trading desks. 3 separate order of enforcement by US government. https://t.co/xbdlSAz5wA — Christine Duhaime …

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Anti-Money Laundering Compliance: What You Need to Know

What is money laundering? Money laundering is the introduction of illegally obtained money into the banking system, or using the banking system to illegally hide legitimate currency. Currency that was lawfully obtained, use of this is in areas like tax evasion. So to repeat, there are two sources of money laundering: 1) Is taking illegal …

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Why energy companies should have an Enterprise Risk Management framework

This article shares eight reasons why energy companies should have some sort of Enterprise Risk Management (ERM) framework in place. It looks like ERM implementations are become more and more in demand. Have a look at the original post here. If you want to know more about designing and implementing your own ERM framework in …

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