- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
I have spent almost twenty years as an auditor; externally, internally, or training auditors. When discussing the subject of risk assessments and annual audit plan development, I am reminded often of a quote from Winnie the Pooh.
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Four federal banking regulators have joined the Treasury Department’s Financial Crimes Enforcement Network in issuing a notice of proposed rulemaking that would require financial institutions to conduct more thorough risk assessments on their anti-money laundering/countering the financing of terrorism programs.
The U.K.’s Financial Conduct Authority asked banks and financial institutions “to do more” to ensure that U.K lawmakers and their families are not treated unfairly.
