Guide For Aml Auditors Global Custody Services
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Global Custody Services
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Author : Bob Walsh
language : en
Publisher: CreateSpace
Release Date : 2015-11-18
Global Custody Services written by Bob Walsh and has been published by CreateSpace this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-11-18 with categories.
This book is a must for all those who work in the Global Custody business! Its services facilitate and support the investment of trillions of dollars of securities and currencies worldwide. It involves global securities processing and custody, foreign exchange, cash management, securities lending, sub-custodians, asset servicing and more. This book was written by one of the leading authorities in the field, Bob Walsh. In this book, he provides specific information describing how Global Custody services are structured and operate.
Guide For Aml Auditors Global Securities Industry
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Author : Bob Walsh
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2016-05-25
Guide For Aml Auditors Global Securities Industry written by Bob Walsh and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-05-25 with categories.
This book is a must for all AML/KYC audit and compliance staff whose responsibilities include the global securities industry and related audit and compliance! This book is one in a series of extraordinary guides in which Bob Walsh details the function and operation of key financial services for the benefit of AML/KYC audit and compliance professionals. The author is convinced that providing a greater understanding of the inner workings of the global securities industry and financial services can dramatically strengthen AML/KYC compliance and audit results. All of Bob Walsh's AML books for auditors also address the complex world of money-laundering, related AML/KYC regulatory issues and concerns, AML/KYC acronyms and technical glossary, and a list of currently known terrorist groups. The topics described in this book include a review of the structure and organization of the global securities industry, global custody services, sub-custodians, clearing corporations and depositories, accounting conventions, foreign exchange, investment banking, types of securities, mutual funds, Know Your Customer (KYC) compliance, Foreign Corrupt Practices Act, Office of Foreign Assets Control (OFAC), due-diligence research, Suspicious Activity Reports (SARs), politically exposed persons (PEPs), and more. The material contained in Mr. Walsh's books was compiled from more than 30 years of hands-on experience in the U.S. and international banking industry. He is a CAMs certified AML/KYC compliance specialist who has worked with some of the largest banks in the world, the Federal Bureau of Investigation, the Federal Reserve Bank of New York, and major AML/KYC consulting agencies working on some of the largest AML/KYC cases in banking industry.
Guide For Aml Auditors Know Your Customer Kyc Compliance
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Author : Bob Walsh
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2016-05-24
Guide For Aml Auditors Know Your Customer Kyc Compliance written by Bob Walsh and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-05-24 with categories.
This book is a must for all AML/KYC audit and compliance staff whose responsibilities include Know Your Customer (KYC) compliance! This book is one in a series of extraordinary guides in which Bob Walsh details the function and operation of key financial services for the benefit of AML/KYC audit and compliance professionals. The author is convinced that providing a greater understanding of the inner workings of how KYC compliance and other financial services operate can dramatically strengthen AML/KYC compliance and audit results. All of Bob Walsh's AML books for auditors also address the complex world of money-laundering, related AML/KYC issues and concerns, AML/KYC acronyms and technical glossary, and a list of currently known terrorist groups. The KYC topics described in this book include retail and institutional account opening requirements, transaction monitoring, structuring, Currency Transaction Reporting (CTRs), due-diligence research, Suspicious Activity Reports (SARs), case studies and more. The material contained in Mr. Walsh's books was composed from over 30 years of hands-on experience in the U.S. and international banking industry. He is a CAMs certified AML/KYC compliance specialist who has worked with some of the largest banks in the world, the Federal Bureau of Investigation, the Federal Reserve Bank of New York, and major AML/KYC consulting agencies working on some of the largest AML/KYC cases in banking industry.
Guide For Aml Auditors Mutual Funds
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Author : Bob Walsh
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2016-06-01
Guide For Aml Auditors Mutual Funds written by Bob Walsh and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-06-01 with categories.
This book is one in a series of extraordinary guides in which Bob Walsh details the function and operation of key financial services for the benefit of AML/KYC audit and compliance professionals. The author is convinced that providing a greater understanding of the inner workings of mutual funds and other financial services can dramatically strengthen AML/KYC compliance and audit results. All of Bob Walsh's AML books for auditors also address the complex world of money-laundering, related AML/KYC regulatory issues and concerns, AML compliance programs, AML/KYC acronyms and technical glossary, and a list of currently known terrorist groups. The topics described in this book include a review of mutual funds, global custody services, the global securities industry, Know Your Customer (KYC) compliance, Foreign Corrupt Practices Act, Office of Foreign Assets Control (OFAC), politically exposed persons (PEPs), and more. The material contained in Mr. Walsh's books was compiled from more than 30 years of hands-on experience in the U.S. and international banking industry. He is a CAMs certified AML/KYC compliance specialist who has worked with major domestic and international banks, Federal Bureau of Investigation, Federal Reserve Bank of New York, and AML/KYC consulting agencies working on some of the largest AML/KYC cases in banking industry.
Aml Auditing Understanding Global Custody Services
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Author : Bob Walsh
language : en
Publisher:
Release Date : 2016-10-13
Aml Auditing Understanding Global Custody Services written by Bob Walsh and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-10-13 with categories.
This book is a must for all AML/KYC audit and compliance staff whose responsibilities include global custody services! The author, Bob Walsh, is widely regarded as one of the leading authorities in this field. This book is one in a series of extraordinary guides in which Bob Walsh details the function and operation of key financial services for the benefit of AML/KYC audit and compliance professionals. He is convinced that providing a greater understanding of the inner workings of how global custody services and other financial services function can dramatically strengthen AML/KYC compliance and audit results. All of Bob Walsh's AML books for auditors also address the complex world of money-laundering, related AML/KYC regulatory issues and concerns, AML/KYC acronyms and technical glossary, and a list of currently known terrorist groups. The topics described in this book include a review of the global custody services business, sub-custodians, the global securities industry, clearing corporations and depositories, accounting conventions, foreign exchange, Know Your Customer (KYC) compliance, Foreign Corrupt Practices Act, Office of Foreign Assets Control (OFAC), due-diligence research, Suspicious Activity Reports (SARs), politically exposed persons (PEPs), and more. The material contained in Mr. Walsh's books was compiled from more than 30 years of hands-on experience in the U.S. and international banking industry. He is a CAMs certified AML/KYC compliance specialist who has worked with some of the largest banks in the world, the Federal Bureau of Investigation, the Federal Reserve Bank of New York, and major AML/KYC consulting agencies working on some of the largest AML/KYC cases in banking industry. Mr. Walsh assists banks with AML/KYC auditing, investigations, compliance assessments, remediations and related AML/KYC technical training. He resides in Deer Park, New York, and can be reached at walsh516@aol.com.
Guide For Aml Auditors Wire Transfers
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Author : Bob Walsh
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2016-05-25
Guide For Aml Auditors Wire Transfers written by Bob Walsh and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-05-25 with categories.
This book is a must for all AML/KYC audit and compliance staff whose responsibilities include wire transfers! This book is one in a series of extraordinary guides in which Bob Walsh details the function and operation of key financial services for the benefit of AML/KYC audit and compliance professionals. The author is convinced that providing a greater understanding of the inner workings of how wire transfers and other financial services operate can dramatically strengthen AML/KYC compliance and audit results. All of Bob Walsh's AML books for auditors also address the complex world of money-laundering, related AML/KYC regulatory issues and concerns, AML/KYC acronyms and technical glossary, and a list of currently known terrorist groups. The wire transfer topics described in this book include wire transfer practices, SWIFT, ACH, Fedwire, analyzing wire transactions, suspicious wire activities, due-diligence research, Suspicious Activity Reports (SARs), Know Your Customer (KYC) requirements, politically exposed persons (PEPs), OFAC, FCPA, and more. The material contained in Mr. Walsh's books was compiled from over 30 years of hands-on experience in the U.S. and international banking industry. He is a CAMs certified AML/KYC compliance specialist who has worked with some of the largest banks in the world, the Federal Bureau of Investigation, the Federal Reserve Bank of New York, and major AML/KYC consulting agencies working on some of the largest AML/KYC cases in banking industry.
Guide For Aml Auditors Fraud And Embezzlement
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Author : Bob Walsh
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2016-06-08
Guide For Aml Auditors Fraud And Embezzlement written by Bob Walsh and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-06-08 with categories.
This book serves as a practical guide for anti-money laundering audit and compliance staff by providing a thorough description of fraud and embezzlement. Included is a review of the complex world of anti-money laundering and international banking and financial services. The author, Bob Walsh, is widely regarded as one of the leading authorities in this field. He is convinced that providing AML/KYC audit and compliance staff with a better understanding of how fraud and embezzlement functions can dramatically improve compliance and audit results. This book is one of a series of AML audit guides written by Bob Walsh describing the functions and inner workings of key financial services. The information presented was compiled from his decades of in-depth, hands-on experience in the industry. This includes working with major international and domestic banks, Federal Bureau of Investigation, Federal Reserve Bank of New York, and with leading AML/KYC consulting agencies on some of the largest cases in banking history.
Investment Banking
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Author : Bob Walsh
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2016-06-09
Investment Banking written by Bob Walsh and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-06-09 with categories.
This book serves as a practical guide for financial, compliance and audit staff by providing a thorough description of investment banking and the complex world of money laundering. Topics covered include underwriting, market making, agent function, distribution, pricing, dilution, private placement, and more. The author, Bob Walsh, is widely regarded as one of the leading authorities in this field. He is convinced that providing financial and compliance professionals with a better understanding of how investment banking functions can dramatically improve related compliance and audit results. This book is one of several compliance books written by Bob Walsh including a special series of guides prepared specifically for AML auditors. In addition, he has published books that describe the functions and inner workings of key financial services. The information presented was composed from his decades of hands-on experience in the banking and financial industry working with domestic and international banks, Federal Bureau of Investigation, Federal Reserve Bank of New York, and AML/KYC consulting agencies on some of the more notorious cases in banking history.
Understanding Clearing Corps And Depositories
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Author : Bob Walsh
language : en
Publisher:
Release Date : 2016-10-15
Understanding Clearing Corps And Depositories written by Bob Walsh and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-10-15 with categories.
This book is a must for all AML/KYC audit and compliance staff whose responsibilities encompass clearing corporations and securities depositories! This book serves as a practical guide for Anti-Money Laundering audit and compliance staff by describing the function and operation of clearing corporations and securities depositories around the world. In addition, this book addresses global custody services, the global securities industry, the complex world of Anti-money Laundering along with related audit and compliance concerns. The author, Bob Walsh, is widely regarded as one of the leading authorities in this field. He is convinced that providing AML/KYC audit and compliance staff with a better understanding of how clearing corporations and securities depositories function can dramatically improve compliance and audit results. This book is one of a series of AML audit guides written by Bob Walsh describing the functions and inner workings of key financial services. The information presented was compiled from his decades of in-depth, hands-on experience in the banking and financial services industry. This includes working with domestic and international banks, Federal Bureau of Investigation, Federal Reserve Bank of New York, and with leading AML/KYC consulting agencies. Mr. Walsh continues to advise banks on AML/KYC compliance and technical training; he can be contacted by email at: walsh516@aol.com.
Anti Money Laundering Transaction Monitoring
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Author : Bob Walsh
language : en
Publisher: CreateSpace
Release Date : 2015-10-17
Anti Money Laundering Transaction Monitoring written by Bob Walsh and has been published by CreateSpace this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-10-17 with categories.
This Handbook is a must for all AML compliance professionals!Like other AML texts written by Bob Walsh, this is a practical, quick-reference guide with specific information geared for AML professionals. This book addresses transaction monitoring as compiled by Bob Walsh from his decades of experience working with some of the largest banks in the world, FBI Special Agents, the Federal Reserve Bank, and leading AML/KYC consulting agencies.This text focuses heavily on transaction monitoring since that is the area of AML compliance where most regulated companies encounter the greatest exposures, complexities and challenges. The following subjects are covered:* Currency transaction reporting (CTR) processing;* Structuring of transactions;* Foreign Corrupt Practices Act requirements;* Office of Foreign Assets Control (OFAC) requirements;* Correspondent relationships;* Wire transactions;* "Red-flag" suspicious transactions;* Transaction monitoring practices;* Due-diligence research; and,* SARs processing.