We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
The Financial Industry Regulatory Authority highlighted persistent failures in firms’ anti-money laundering compliance programs in its 2025 annual regulatory oversight report. The report underscored ...
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iCOMPASS launches new KYC and AML platform to streamline compliance for financial institutions
iCOMPASS Pte Ltd, a Singapore-based Regulatory Technology firm, today announced the launch of its next-generation Know Your Customer (KYC) and Anti-Money Laundering (AML) platform for financial ...
King and Spalding partner Matt Biben and counsel Joshua Roberts discuss the Bank Secrecy Act and evaluate potential reforms, including some under current consideration by Congress, as well as emerging ...
LPL Financial has agreed to pay an $18 million civil penalty for the SEC described as significant shortcomings in the firm's anti-money laundering program. The reported violations, which occurred ...
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