
Laundering Luxury
‘Daigou’ buyers purchasing luxury items in the U.S. for sale in China are often funded by Chinese Money Laundering Networks using financial proceeds of cartel activities. Learn how these methods operate, the red flags financial institutions can identify, and the actions to take in response.

FATF’s Recent Risk Map Update
FATF’s June 2025 update—new grey list additions and unchanged high-risk jurisdictions mean updated risk scores, stronger due diligence, and sharper monitoring for compliance teams. Here are three actions to take now.

Deepfake Deep Dive
Artificial intelligence (AI) can increase the volume, value, and effectiveness of fraud attacks such as CEO fraud. Financial institutions should take action to protect themselves – and their customers.

From Outdated to Aligned
Modern compliance risks require modern training. Discover how forward-thinking institutions are reshaping their programs to stay ahead of fast-evolving threats.

Training for the Wrong Risk
Many teams are completing training—but on outdated risks. This article explores how misaligned training leaves organizations exposed, and what leaders can do to close the gap.

A Necessary Shift in Mindset
In this article, we explore how financial institutions can transform training from a cost center into a strategic tool for managing risk, strengthening culture, and staying ahead of regulators.

Optimizing Effectiveness
In this article, we explore what effective training really looks like—customized, engaging, and aligned with today’s regulatory environment.

Why Compliance Training Still Fails
Even with mandatory training, financial institutions continue to face major compliance failures. This article unpacks the risks of a “check-the-box” culture—and why outdated, generic programs aren’t enough to keep your organization compliant.

Recent IAR Enforcement Actions
Recent SEC enforcement actions against IARs highlight critical compliance failures, including unregistered brokerage activities, misleading marketing practices, undisclosed conflicts of interest, and inadequate compliance policies.

Sweeping AML Requirements for RIAs and ERAs
FINCEN issued a final rule with new AML requirements for investment advisers. With the January 1, 2026 deadline approaching, RIA and ERA firms must begin building and implementing their compliance programs as soon as possible.