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In this monthly regulatory roundup, John Byrne sits down with Sarah Beth Felix of Palmero Consulting to examine some of the most important AML, CTF, and sanctions developments from the past month. The conversation begins with a reflection on the 40th anniversary of the Money Laundering Control Act and its lasting impact on the compliance profession.
Sarah breaks down the recent American Express enforcement action, highlighting overlooked risks in lending products, the connection between culture and compliance effectiveness, and why every element of a BSA/AML program ultimately supports suspicious activity reporting. The discussion also explores board oversight, indicators of effectiveness, and lessons financial institutions can take from major consent orders.
The episode then turns to FINRA's latest enforcement action against Revere Securities, and FinCEN's decision to withdraw proposed cryptocurrency-related rules. The episode concludes with a candid conversation about artificial intelligence in AML compliance, including the promises, pitfalls, governance concerns, and the questions institutions should ask before relying on AI-driven monitoring and alert dispositioning.
Sarah breaks down the recent American Express enforcement action, highlighting overlooked risks in lending products, the connection between culture and compliance effectiveness, and why every element of a BSA/AML program ultimately supports suspicious activity reporting. The discussion also explores board oversight, indicators of effectiveness, and lessons financial institutions can take from major consent orders.
The episode then turns to FINRA's latest enforcement action against Revere Securities, and FinCEN's decision to withdraw proposed cryptocurrency-related rules. The episode concludes with a candid conversation about artificial intelligence in AML compliance, including the promises, pitfalls, governance concerns, and the questions institutions should ask before relying on AI-driven monitoring and alert dispositioning.
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