RDC FLYER: September 2014

Published in, Q4 2014

Industry Trends & Regulatory Developments in Financial Services

In September 2014, RDC conducted a survey of banking executives to determine their views on the main trends and regulatory developments facing the industry. Amongst the findings was the fact that financial services professionals believe Digital Natives will trust their social media platforms over their local bank. Download the full result summary to learn more.

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Published in, Q4 2014

On the Horizon for 2013

Spring is a time for renewal, for looking forward—and the AML world can’t move past 2012 fast enough.  Massive fines, ubiquitous and challenging regulatory actions, and never-ending audits do not make for fun times. But let’s stay with the spirit of the season and look forward.  What does the crystal ball say about 2013?

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Kevin J. Ford, Chief Compliance Officer, RDC
Published in, Q4 2014

Politically Exposed Persons and The Risk-Based Approach

The definition and identification of Politically Exposed Persons (PEPs) and the management of the risks associated with PEP clients continues to be a major challenge for financial institutions and increasingly for corporations seeking to comply with global anti-bribery laws.  The management of PEP risk is unique in that unlike criminals or terrorists, the great majority of politically exposed persons represent little or no risk to a financial institution or commercial enterprise.

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Published in, Q4 2014

Greetings from the front lines!

Summer is nearly over, and while I hope you had some time to enjoy it, I have seen firsthand that many of you have been working overtime on meeting regulatory demands and strengthening your firms’ compliance protection. RDC has been busy supporting your efforts and helping with our clients challenges.

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