Resources

Cobia offers a variety of resources to help you stay informed with the latest in compliance!

Investment Advisor
July 19, 2018

SEC Fines Advisors for Endorsements

Just this week, the Securities and Exchange Commission fined and censured three individual advisers for violating the Investment Advisers Act by using a marketing service that solicited the advisers’ clients…
AML
November 28, 2017

AML Requirements for Nonbank Residential Mortgage Originators

In our last post we discussed requirements on nonbank residential mortgage originators that became law with the Bank Secrecy Act.  Today we will look at the requirements to establish an…
AML
November 28, 2017

Evaluating your AML risk

It has often been said that the first step to solving a problem is admitting you have a problem. In the world of AML Audits, that begins with evaluating the risk…
AML
November 28, 2017

A Word from the WSJ about the importance of AML Audits

Today, it is not uncommon to see the Justice Department and regulators assess multi-million dollar criminal or civil fines against banks and other financial institutions that bring large amounts of…
FINRA
November 28, 2017

Consequences of Non-Compliance

Today we want to highlight another example of what can happen for failing to abide by AML regulations and FINRA compliance standards. We share this as a cautionary tale of…
AML
November 28, 2017

Learning from the mistakes of JP Morgan Chase

Today we want to highlight the recent fines and settlements in cases involving JP Morgan Chase.  In the last six months, one of the largest financial organizations in the world…

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