Documenti di Didattica
Documenti di Professioni
Documenti di Cultura
Compliance EYE
– Compliance EYE is a web-based (ASP) securities trade
surveillance system
Reputational Risk
Lawsuits
Prison
– Before 9/11 few agency
examination issues
Fraud
Reputational Risk
Lawsuits
Money Laundering
Prison
– Typically little or no
money loss
– Before 9/11 aimed at
drug enforcement and
tax evasion
Fraud
Fraud
Compliance
Money Laundering
– Fines
OFAC
– Loss of charter
– Loss of GLB powers
Bank
– Multiple agency Secrecy
enforcement actions Act
Prison
Fraud
Money Laundering
Fraud
Organization
Auditing
And Account Transaction Account
And
Process Opening Processing Closed
Reporting
Design
Pringle (Policies)
Training
CIP Checklist
Risk Assessment
Matrix
ID Flag
AML Software
Case Management
Identity Verification
Fraud Record
File Retention
Core
Processor Global hi-risk check
AML
Software Case
Management
OFAC
System 1 System 2 System 3
Risk Management
User Management
FINCen
Billing
Automated Routing
Professional Services
Other (TBD)
Resources and Tools
BANK BSI Vendors
Over 400 institutions (from banks to government) use W-C to screen their
customers for risk.
Easy to use
AML
Fraud
PATRIOT Act
Trade Irregularities
Front-running Spoofing
Inefficient Reactive,
Use of Time Not Proactive WSP Email Regs
Other
Manual Inconsistent
Processes Audit Terms
Increasing OFAC
Workload
Compliance EYE
Mutual Fund
a/c info Suitability Other firm Data
criteria data
OMS Clearing
Firms