Publications

Article 21 Oct 2024 - 8 minutes read

Avoiding the Next $3B Fine: AML Insights from TD Bank's Case

TD Bank Faces Historic $3 Billion Fine: A Look at AML Shortcomings and Key Insights on Building a Resilient Compliance Program

Event 07 Nov 2024

Transform Your Regulatory Compliance with RegReview

In an era where regulatory compliance is becoming increasingly complex, managing constant updates and requirements is a significant challenge.

Article 04 Sep 2024 - 8 minutes read

SEC Division of Examinations: 2024 Priorities

This report guides entities to become better informed and increase focus on their continued partnership in fulfilling the four pillars of the SEC’s mission of promoting compliance, preventing fraud, monitoring risk and informing policy.

Article 03 May 2024 - 5 minutes read

CFPB proposes new federal oversight

The Consumer Financial Protection Bureau (CFPB) is proposing new oversight rules to ensure large tech companies offering digital wallet and payment app services adhere to the same supervisory standards as traditional financial institutions.

Article 26 Apr 2024 - 7 minutes read

What is The Foreign Account Tax Compliance Act (FATCA)?

FATCA is a U.S. legislation intended to curb the use of offshore accounts and financial assets to evade U.S. taxes. The law mandates reporting obligations for U.S. nationals, FFIs, and non-financial foreign entities (NFFEs) to the US Department of the Treasury regarding foreign assets.

Article 09 Apr 2024 - 8 minutes read

Thriving In Change: Navigating Sustainability in Asset Management

The integration of sustainability into investment processes at asset managers in North America has been increasing due to both commercial and regulatory factors. With integration comes challenges. However, Sia Partners is able to assist asset managers by leveraging sustainability expertise.