The brokerage industry regulator cited gaps in surveillance, customer due diligence, and red-flag escalation across the ...

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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Time and again, seemingly successful bank mergers have been rocked by revelations of poor anti-money-laundering compliance. Assessing the AML risk of a potential merger partner is extremely tricky, ...

In financial institutions across the United States, there’s a reflex that’s become almost ritual. When a regulator walks in, or a board member asks whether the AML program is working, the answer is ...

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 ...

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 ...

Having worked with compliance teams throughout my professional career, I’ve always known them to be critical roles in any organization, yet they are often underappreciated. Unfortunately, commercially ...