Alternative Finance, Financing and Innovative Solutions in the Caribbean region alternative finance aml/cft compliance defi digital developments in financial services compliance financial services innovation regulation Nov 03, 2021

In an increasingly globalised world, we are very aware that many areas are underserved and would benefit greatly from innovative financial solutions. The...

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GRC 3.0: The Future of Regulation and Governance aml/cft cdd compliance customer due diligence financial services fit and proper proffered governance regulation Oct 27, 2021

In my engagements with financial services professionals, I have shared my vision of the future of regulation. One aspect of regulatory engagement that I...

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AML/CFT Regimes: A Regulator's Experience aml/cft compliance financial services regulation risk assessments risking it Oct 14, 2021

Recently, I was fortunate to have the opportunity to present to an engaged group of compliance professionals through the Co-op Credit Union League of...

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Legacy Business and CDD: The devil and the deep blue sea! aml/cft cdd compliance customer due diligence due diligence done differently financial services legacy business regulation Oct 03, 2021

One of the challenges that continues to bedevil long-lived regulated firms is their legacy business – the portfolio of clients whom regulation grew up...

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Enhanced CDD: Challenges and Navigating Pitfalls aml/cft cdd compliance customer due diligence due diligence done differently financial services regulation Sep 29, 2021

Conducting customer due diligence (CDD) does not come without its potential challenges and pitfalls. Here are some insights to help you identify the...

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Simplified CDD: The critical issues you are missing! aml/cft cdd compliance customer due diligence due diligence done differently Sep 22, 2021

Over the years, I’ve had the opportunity to review compliance manuals for all types of regulated entities and even a few compliance manuals for other...

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