Watch list screening tools, and protocols have recently received close attention from regulators, and as seen US violations of sanctions, laws are enforced very strictly. Therefore the role and importance of strong sanctions controls cannot be underestimated and considerations of issues such as those shown below should be considered. software an control failure  (see below), […]

U.S. SECURITIES AND EXCHANGE COMMISSION – Litigation Release No. 23567 / June 13, 2016 – Securities and Exchange Commission v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell, Civil Action No. 0:16-cv-1877 WMW-FLN (D. Minn. filed June 7, 2016) On June 7, 2016, the Securities and Exchange Commission filed […]