Posts Tagged ‘Compliance

September 1st, 2013

Coin Dealer Hung Out On A Shingle For Home Loan Fraud

Coin Dealer Hung Out On A Shingle For Home Loan Fraud? Recently one of our consultants was asked to opine on the subject of Customer Due Diligence concerning a financial […]

September 1st, 2013

Corporate Excuses to Avoid Compliance and Ethics Programs

Corporate Excuses to Avoid Compliance and Ethics Programs by Michael Volkov Change is difficult. I understand that. Business leaders know the importance of change, adaptation and innovation. However, when it […]

May 31st, 2013

The Drugstore Cowboy and Compliance

The Drugstore Cowboy and Compliance One does not have to look very far in the business world to come across the phrase “Know Your Customer.” A company certainly needs to […]

November 1st, 2012

Conflict of Interest

Sometimes I want to scream at professionals who are just not thinking, or accuse them of complicity because what they have done is so egregious. In a recent matter a […]

October 1st, 2012

CPA’s Are Accountants Not Security Experts

From the AICPA Web Site SOC 2 Report on Controls at a Service Organization Relevant to Security, Availability, Processing Integrity, Confidentiality or Privacy These reports are intended to meet the […]

May 1st, 2012

Myanmar

In the April edition of the Aegis Journal we discussed a client who we felt was more or less “uncoachable”.  But yet, in his defense, we can see many more […]

March 1st, 2012

Sanctions and Compliance, A Cautionary Tale…

On February 24, 2012, the US Treasury’s Office of Foreign Asset Control (OFAC) announced the following Civil Money Penalty Information: “Online Micro, LLC Settles Iran Export Apparent Violations: Online Micro, […]

March 1st, 2012

FATF 2012 AML Recommendations

On 16 February 2012, the Financial Action Task Force (FATF), the global standard setting body for anti-money laundering and combating the financing of terrorism (AML/CFT) , published the following public […]