Press Release – Catalyst Automated Compliance Solution
Miami, Florida, November 2015 Press Release FinWebTech is pleased to announce that it has successfully deployed its flagship product Catalyst Automated Compliance
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How much does your firm spend on Compliance … is it enough?
Is your firm spending enough on compliance? That has been one of the main questions over the last
Read more →FinCEN’s $1 Million Fine Against CCO and Personal Liability
In December of 2014, FINCEN fined MoneyGram’s then Chief Compliance Officer Thomas Haider $1 Million as a civil
Read more →OFAC Enforcement and the monitoring of IP addresses
I read through OFAC’s Enforcement Information for November (https://www.treasury.gov/resource-center/sanctions/CivPen/Documents/20151124_Barracuda.pdf) and found this interesting and a different twist to
Read more →Do you have a Risk Based Program?
The first question regulators often ask during an initial examination interview is ‘do you have a risk based
Read more →Compliance Officers and Personal Liability Report and What Compliance Officers Can Do.
Are you a compliance officer feeling threatened with increased personal risk, you’re not alone. Thomson Reuters recently published the
Read more →Managing Conflicts of Interest across BD and RIAs
Many BD firms are expanding their business in the shrinking BD market to the Investment Advisory space. The
Read more →Are Debit Card transactions flying under your firm’s AML radar?
Debit card transactions should be included in AML programs. This added data increases the burden of review resulting in the need for automated compliance software such as FinWebTech’s Catalyst Compliance Solution.
Read more →7 Simple tips for Cyber-Security for Broker Dealers and RIAs
Cyber-Security is a hot topic with the SEC and FINRA. Regulators have announced their examinations will include Cyber-Security and some
Read more →SEC’s Branch Chief on Data Analysis and 9 things CCO’s should do
SEC’s Chief of Staff Andrew Donahue recently spoke at the National Regulatory Services Fall conference and gave CCO’s
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