PYMNTS

JANUARY 30, 2019

More detailed eCDD — especially for business accounts, trusts and high-net-worth (HNW) accounts — has become a focus for regulators, governments and agencies. With these factors in play, FinTech firms are evolving their offerings to keep up with the new regulatory challenges.

Due Diligence 74

Due Diligence Verification Money Laundering FinTech 74

Fintech News

JULY 17, 2024

Transfers Just Under Reporting Thresholds The report highlights noticeable surges in transfers just below the US$1,000, US$3,000, and US$10,000 thresholds. These thresholds align with various regulatory reporting requirements, suggesting that some actors may be structuring payments to avoid triggering additional scrutiny.

Money Laundering 109

Money Laundering Law Enforcement AML Non-Bank 109

CB Insights

NOVEMBER 11, 2022

ESG reporting requirements. These platforms simplify administrative efforts — across areas like accounting, human resources, and legal — and employ data and software modules to help companies plan for future equity changes (such as before a funding round). ESG REPORTING REQUIREMENTS. Trade analytics and execution.

API 66

API Reporting Requirements Embedded Finance Laws 66

The Payments Association

OCTOBER 11, 2024

The proposals will impact authorised payment institutions, e-money institutions, and other relevant firms, with a broader interest for consumers, insolvency practitioners, and legal professionals. He suggests firms pay close attention to the detailed provisions in the draft rules.

Due Diligence 88

Due Diligence Audit Reconciliation Compliance 88

PYMNTS

AUGUST 20, 2018

via Coinbase, was closed – and the activity in Hong Kong allegedly was to avoid reporting certain information as required by law. In another allegation against Burrell, he evaded reporting requirements by attempting to smuggle as much as $1 million from Mexico into the U.S.

Money Laundering 41

Money Laundering Bitcoin Legal Framework Laws 41

The Fintech Times

SEPTEMBER 4, 2024

The regulation, coming into force in January 2025, will add the complexity of enhanced governance across the entire supply chain. Guy Mettrick, industry vice president at Appian “The Digital Operational Resilience Act ( DORA ) represents a huge challenge for compliance teams.

Compliance 64

Compliance Rules Regulations Cybersecurity 64

Neopay

SEPTEMBER 2, 2024

With regulations constantly evolving, a monitoring plan ensures that businesses remain compliant and avoid any potential penalties or legal issues. With an increase in the number of reports required, it’s easy for businesses to fall behind. Can a Compliance Monitoring Plan be used for more than just adhering to FCA regulations?

Compliance 59

Compliance Regulatory Compliance Money Laundering Assessments 59

PYMNTS

SEPTEMBER 5, 2019

Governments rely on tax revenues to fuel the vital services they provide to residents and businesses – from firefighting and public education to water system repair and road maintenance. Retail sales taxes have long been key sources of state governments’ budgets and have been their greatest single stream of revenue since the mid-1900s. .

Laws 46

Laws Compliance Rules Government 46

FloQast

MARCH 12, 2024

This team should include members from various departments such as finance, legal, HR, and marketing. However, there are significant accounting and reporting requirements associated with this structure, so it’s crucial to discuss the decision with your tax advisor, IPO advisor, and legal counsel.

Advisors 52

Advisors Due Diligence Audit Legal 52

PYMNTS

SEPTEMBER 25, 2019

the Financial Trade Commission opened an investigation into the merchant cash advance sector and other alternative financing products for SMBs as the government weighs broadening consumer borrower protections to include small firms. In the U.S., In June, the U.K.’s In June, the U.K.’s Data Solutions For Data Problems.

Compliance 47

Compliance P2P Risk Management Regulatory Compliance 47

Nanonets

NOVEMBER 29, 2023

Document approval processes are indispensable for maintaining operational integrity, ensuring compliance with legal and regulatory requirements, and safeguarding against errors that could lead to financial losses or legal liabilities. Reporting and Analysis Tools : Power BI, Tableau for data visualization and reporting.

Automation 52

Automation Legal Compliance Process 52

FloQast

APRIL 12, 2024

This section provides the name of the law firm that approved the legality of your registration statement. Interests of named experts and counsel. Information with respect to the registrant. This section is the meatiest part of the prospectus.

Underwriting 52

Underwriting Indemnification Due Diligence Legal 52

Nanonets

SEPTEMBER 23, 2023

Encumbrance Accounting in Different Sectors Encumbrance accounting is utilized differently in government, public sector, and non-profit organizations, with unique requirements and regulations to ensure transparent financial management.

Accounts 52

Accounts Government Governance Payroll 52

Basis Theory

OCTOBER 1, 2024

So, while you may not need PCI Level 1 compliance, understanding the different levels of PCI compliance and the 12 PCI requirements will certainly help. PCI Levels allow organizations to understand and determine their reporting requirements when processing credit card payments. Don't, however, let the term "merchants" fool you.

PCI DSS 88

PCI DSS Compliance Encryption Assessments 88

Nanonets

AUGUST 2, 2023

The ITN is also required to complete customs forms. The Foreign Trade Regulations (FTR) govern the filing of export information in the US and are required under US law. They outline the requirements for filing the Electronic Export Information in the Automated Export System. What is FTR? What is an FTR Exemption?

Automation 52

Automation Regulations Compliance Legal 52

Nanonets

SEPTEMBER 21, 2023

Non-compliance with Regulations Compliance with accounting regulations is essential to avoid legal issues and penalties. Businesses must stay updated with the latest regulations and ensure adherence to reporting requirements, tax laws, and industry-specific guidelines.

Accounts 52

Accounts Audit Payroll Compliance 52

FloQast

DECEMBER 13, 2023

There was a fundamental need to investigate the root causes of these financial scandals to restore investor confidence and enhance corporate governance by holding senior executives accountable for accurate financial reporting. Only accounting firms registered with the PCAOB can legally audit public companies.

Compliance 52

Compliance Audit White Collar Crime Risk Assessment 52

PYMNTS

DECEMBER 27, 2016

In case there’s curiosity about where those come from and how they get updated, here’s a clue: It’s not just the government. Bridging between what the law requires and businesses, ComplyRight tracks federal, state and local regulatory activity, as well as monitoring economic and employment environments.

Regulations 40

Regulations Laws Posting Small Business 40

Nanonets

JANUARY 17, 2024

This isn't just about pinching pennies; it's about strategic financial governance. Regulatory Compliance – Don’t Mess with The Law : Automated expense management ensures that you're always on the right side of the law, avoiding costly legal pitfalls. " But let's not kid ourselves.

Payment APIs and Integration 52

Payment APIs and Integration Compliance Automation Audit 52

The Payments Association

APRIL 14, 2025

Legal risks, operational exposures, and governance expectations are highlighted throughout, alongside next steps to support timely action. Firms must ensure their promotions meet the required standards, supported by robust internal approval processes, monitoring systems, and clear documentation to demonstrate adherence.

Regulations 88

Regulations ISO 20022 Cross-Border Legal 88

Neopay

APRIL 14, 2025

This includes stricter record-keeping, more robust reporting requirements, and a requirement for an independent safeguarding audit. The end-state rules bring about a significant change by replacing the existing safeguarding requirements with a statutory trust model, similar to the FCA’s Client Assets Sourcebook (CASS).

Due Diligence 59

Due Diligence Audit Compliance Reconciliation 59

The Fintech Times

MAY 30, 2025

And that uncertainty comes with serious legal risk. Literally anyone who held a governance token and used it. A lot of people thought smart contracts were in a legal grey zone. How do we move forward when the risks are real, and the legal system is still playing catch-up? Once data is on-chain, it stays there.

Regulations 45

Regulations Blockchain Laws Risk 45