Compliance Bricks and Mortar for January 19

These are some of the compliance-related stories that recently caught my attention. Financial Institutions Are Playing Catch-Up in AML and Sanctions Compliance by Michael Volkov A recent survey of financial institutions conducted by Alix Partners on AML and Sanctions compliance (here) contains informative results that support some of my general concerns about ethics and compliance … Read more »

Compliance Bricks and Mortar for December 8

These are some of the compliance-related stories that recently caught my attention. ICO Enforcement Actions Threatened, ICO Lawsuits Proliferate By Kevin LaCroix According to the latest update on the Coinschedule website (here), there have been a total of 228 initial coin offerings so far this year through mid-October, raising a total of over $3.6 billion. At least … Read more »