Aml Auditing Understanding Global Custody Services

Author : Bob Walsh
Publisher :
ISBN 13 : 9781539534365
Total Pages : pages
Book Rating : 4.67/5 ( download)

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Download or read book AML Auditing - Understanding Global Custody Services written by Bob Walsh and published by . This book was released on 2016-10-13 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 [email protected].

Author : Bob Walsh
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781533472458
Total Pages : 190 pages
Book Rating : 4.59/5 ( download)

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Download or read book Guide for AML Auditors - Global Custody Services written by Bob Walsh and published by Createspace Independent Publishing Platform. This book was released on 2016-05-25 with total page 190 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a must for all AML/KYC audit and compliance staff whose responsibilities include global custody services 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 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.

Author : Bob Walsh
Publisher :
ISBN 13 : 9781539593461
Total Pages : pages
Book Rating : 4.60/5 ( download)

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Download or read book Understanding Global Securities Industry written by Bob Walsh and published by . This book was released on 2016-10-15 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a must for all AML/KYC audit and compliance staff whose responsibilities include the global securities industry! 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 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. 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 [email protected].

Author : Bob Walsh
Publisher : CreateSpace
ISBN 13 : 9781519402974
Total Pages : 154 pages
Book Rating : 4.7X/5 ( download)

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Download or read book Global Custody Services written by Bob Walsh and published by CreateSpace. This book was released on 2015-11-18 with total page 154 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Author : Bob Walsh
Publisher :
ISBN 13 : 9781539519744
Total Pages : pages
Book Rating : 4.40/5 ( download)

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Download or read book AML Auditing - Understanding Transaction Monitoring written by Bob Walsh and published by . This book was released on 2016-10-13 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a must for all AML/KYC audit and compliance staff whose responsibilities include AML transaction monitoring! 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 AML transaction monitoring 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 AML transaction monitoring topics described in this book include AML transaction monitoring practices, structuring of transactions, wire transfers, correspondent relationships, "red flag" suspicious activities, due-diligence research, Suspicious Activity Reports (SARs), Know Your Customer (KYC) requirements, CTRs, politically exposed persons (PEPs), "311" and "314" entities, case studies 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 [email protected].

Author : Bob Walsh
Publisher :
ISBN 13 : 9781539593775
Total Pages : pages
Book Rating : 4.70/5 ( download)

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Download or read book Understanding Clearing Corps and Depositories written by Bob Walsh and published by . This book was released on 2016-10-15 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: 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: [email protected].

Author : Bob Walsh
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781539505280
Total Pages : pages
Book Rating : 4.86/5 ( download)

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Download or read book AML Auditing - Understanding Kyc Compliance written by Bob Walsh and published by Createspace Independent Publishing Platform. This book was released on 2016-10-12 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 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 [email protected].

Author : Bob Walsh
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781539534587
Total Pages : pages
Book Rating : 4.88/5 ( download)

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Download or read book AML Auditing - Understanding Securities Lending written by Bob Walsh and published by Createspace Independent Publishing Platform. This book was released on 2016-10-13 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a must for all AML/KYC audit and compliance staff whose responsibilities include securities lending! 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 securities lending 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 securities lending topics described in this book include risk management, negotiation, collateral issues, revenue-sharing, related audit and compliance issues, qualities of leading companies, starting a securities lending business, foreign corrupt practices act, OFAC, politically exposed persons, due-diligence research, Suspicious Activity Reports (SARs), and a review of the many laws, rules and regulations that govern participating banks. 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 [email protected].

Author : Bob Walsh
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781533470614
Total Pages : 138 pages
Book Rating : 4.18/5 ( download)

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Download or read book Guide for AML Auditors - Office of Foreign Assets Control written by Bob Walsh and published by Createspace Independent Publishing Platform. This book was released on 2016-05-25 with total page 138 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a must for all AML/KYC audit and compliance staff whose responsibilities include Office of Foreign Assets Control (OFAC)! 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 OFAC and 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 topics described in this book include OFAC practices, global securities processing and custody, due-diligence research, Suspicious Activity Reports (SARs), Know Your Customer (KYC) requirements, politically exposed persons (PEPs), Foreign Corrupt Practices Act (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.

Author : Bob Walsh
Publisher :
ISBN 13 : 9781539593072
Total Pages : pages
Book Rating : 4.7X/5 ( download)

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Download or read book Understanding Investment Banking written by Bob Walsh and published by . This book was released on 2016-10-15 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a must for all AML/KYC audit and compliance staff whose responsibilities encompass investment banking! The author, Bob Walsh, is widely regarded as one of the leading authorities in this field. He is convinced that providing audit and compliance professionals with a better understanding of how investment banking functions can dramatically improve related AML/KYC compliance and audit results. 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. This book is one in a series of extraordinary financial books in which Bob Walsh details the function and operation of key financial services for the benefit of AML/KYC audit and compliance professionals. The information presented was composed from his 30 years 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. Mr. Walsh assists banks with AML/KYC auditing, investigations, compliance assessments, remediations and related AML/KYC technical training; he can be reached at [email protected].