AML and Investigative Resources

Posted by & filed under Research & Investigation.

Need help tracking down the link to the Hong Kong Companies Registry or the U.S. Postal Inspection Service’s Most Wanted List (here and here)? We have just updated the free investigative resources section on our main site.  Some of the more popular categories are the sections for International Corporate Registries, Sanction/Watch Lists, and Visualization Tools…. Read more »

Raymond James AML Fine Breakdown

Posted by & filed under AML General, Negative News.

Last week FINRA fined Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS), a total of $17 million for widespread AML compliance failures.  Most notable perhaps was this fact:  RJA’s former AML Compliance Officer was personally fined $25,000 and suspended for three months by FINRA, effectively ending her AML compliance career…. Read more »

Panama Papers Data File Overview

Posted by & filed under Research & Investigation.

Just over a week ago, the International Consortium of Investigative Journalists (ICIJ) released a searchable database of companies, people, and addresses named in the Panama Papers.  In addition to the online search tool, the ICIJ also released a downloadable version of the same information.  Below is a brief overview on how to download the database, and… Read more »