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United States
This section covers AML/CTF initiatives by the US Treasury, US DoJ, OCC, FinCEN, SEC and other related US organisations.
USA PATRIOT ACT 2001
Bank Secrecy Act AML Statutes & Regulations
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Department of State’s International Narcotics Control Strategy Reports
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FinCEN proposed rulemaking on access to beneficial ownership information
The proposed regulations specify how govt officials would access beneficial ownership information to support law enforcement, national security, and intelligence activities. They also describe how certain financial institutions and their regulators would access...
MONEYVAL issues report on AML/CFT in Georgia
Georgia has achieved full compliance with six of the 40 FATF recommendations constituting the international AML/CFT standard and retains minor deficiencies in the implementation of 22 recommendations where it has been found “largely compliant”...
US House on major AML reform
House of Representatives passes bill requiring that trust companies, lawyers and art dealers report suspicious activity, according to ICIJ. The Enablers Act was first proposed shortly after ICIJ’s Pandora Papers investigation exposed widespread exploitation of lax financial disclosure...
Board of Governors Joint Statement on RBA & CDD
Banks must apply a risk-based approach to CDD, including when developing the risk profiles of their customers. More specifically, banks must adopt appropriate risk-based procedures for conducting ongoing CDD that, among other things, enable banks to: (i) understand the nature...
OFAC Fact Sheet on Digital Assets
OFAC issues fact sheet on the framework for international engagement on digital assets. The EO directs the Administration to promote development of digital asset and central bank digital currencies (CBDC) technologies consistent with our values and legal requirements...
US DoJ on money transfer company on AML failures
US DoJ announces guilty plea of money transfer company, Ping Express, in relation to AML failures. The company – which was licensed to transmit money but was not licensed to conduct currency exchange – charged U.S. customers a fee to remit money to beneficiaries...
FinCEN on RBA to assessing customer relationships & conducting CDD
FinCEN issues statement on the risk-based approach to assessing customer relationships and conducting CDD. Banks must adopt appropriate risk-based procedures to understand the nature and purpose of customer relationships for the purpose of developing...
FinCEN on BSA due diligence for ATM owners
FinCEN issued a statement to provide clarity to banks on how to apply a RBA to conducting CDD on independent ATM owners or operators. Some independent ATM owners and operators have reported difficulty in obtaining and maintaining access to banking services...
US and UK Govt on tackling global financial crime
US & UK Govt collaborate to develop prize challenges to generate technology innovation to help tackle the global challenge of financial crime. Privacy-enhancing technologies (PETs) could play a transformative role in addressing these financial crimes...
FinCEN rulemaking for no-action letter process
The Report noted several potential benefits of a no-action letter process, including encouraging a robust and productive dialogue with the public, promoting a culture of compliance, and enhancing transparency in the application and enforcement of the Bank Secrecy Act...
Wells Fargo Advisors fined by U.S. SEC for AML lapses
US SEC charges Wells Fargo Advisors $7million for failing to file at least 34 SARs in a timely manner. Due to Wells Fargo Advisors’ deficient implementation and failure to test a new version of its internal AML transaction monitoring and alert system...
US DoJ on National Firearms & Trafficking Assessment
US DoJ announced the publication of the first volume of the National Firearms in Commerce and Trafficking Assessment (NFCTA), a four-part, comprehensive examination of commerce in firearms and the diversion of firearms to illegal markets...