The challenges of combining SMF16 and SMF17 – expectations on the heads of compliance and MLROs.
SMF17
Martin Woods provides some insight as to what happened at Wachovia Bank and how he discovered the money laundering.
Also known as the “Wachovia Whistleblower”, Martin Woods has been chasing bad guys since the age of 17.
The UK regulator recently published a list of common errors it observed from asset management firms applying for authorization or variation of permission.