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Compliance Officers and Law Enforcement: Friends or Foes?

By Jonathan B. New and Patrick T. Campbell
April 01, 2018

As we saw in Part One in last month's newsletter, regulators have recently shown a tendency to focus on compliance officers who they deem to have failed to ensure that the compliance and anti-money laundering (AML) programs that they oversee adequately prevented corporate wrongdoing, and there are several indications that regulators will continue to target compliance officers in 2018 in actions focused on Bank Secrecy Act (BSA)/AML compliance.

Regulators' Scrutiny of Compliance Officers in 2018

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