By Compli-Serve
One of the most persistent problems in AML compliance has always been the gap between what an institution says it does and what actually happens in practice. The RMCP may contain the right terminology, the business risk assessment may identify the expected categories of risk, and the client ...
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By James George, Compli-Serve
The Financial Intelligence Centre’s 2025/26 Annual Report deserves more attention from compliance officers than the usual annual-report statistics might suggest. Read together, the figures show a supervisory system moving beyond registration drives and basic awareness towards something considerably more data-driven: institutions are being risk-rated ...
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The Volkov Group in the US has put its finger on an important shift in modern compliance: the move from programmes that are merely documented to programmes that can actually be measured. For years, compliance functions everywhere relied heavily on familiar indicators such as training completion, policy attestations and hotline ...
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By Lee Rossini
Intergenerational wealth is the transfer of financial assets, property, businesses and other resources from one generation to the next. For financial planners, it represents both a responsibility and an opportunity: preserving wealth is not only about managing investments, it is also about preparing families to make sound financial decisions across generations. According to the CFP Board, as substantial amounts of wealth are expected to change hands in coming decades, planners who build relationships with the whole family are better positioned to provide continuity and retain assets.
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