The Wolfsberg Group’s Post

That's a great point! While the FBI focuses on enforcement and prosecution, financial advisors like yourself play a crucial role in preventing financial crimes and protecting investors. Your work in: 1. Investigating intentions of criminal activities 2. Providing recommendations for legislative governance improvements 3. Protecting the health and wellbeing of people is essential in maintaining the integrity of the financial system and promoting a safe and stable environment for investors. Your role is indeed focused on crime prevention, and your expertise is valuable in: 1. Identifying potential risks and vulnerabilities 2. Developing strategies to mitigate those risks 3. Collaborating with regulatory bodies to enhance governance and protection Your work is a key component of the overall effort to prevent financial crimes and protect the public. Keep up the great work!

Will the FCA completely withdraw its proposals to announce more details of enforcement investigations at the outset? Check out what Laura Cooke and Ariana Chis have to say. #regulatoryrisk #investigations #reputationalharm

Please check out this article I wrote with Scott McBride!

How to Make Millions as a Professional Whistleblower

It is very interesting to listen to the members of enforces in the same panel from Serious Fraud Office, US Department of Justice, France National Financial Prosecutor’s Office and Office of the Attorney General of Switzerland at the GIR Milan event. The main subject is the whistleblowing, detection of financial crime, voluntary self disclosure and prosecution.

Earlier this year, the SEC awarded over $120 million to whistleblowers whose information led to enforcement action. With enforcement measures ramping up and potential regulatory changes on the horizon, Cort LaBanca shares his insights on why proactive engagement and strong whistleblowing programs are key to managing risk effectively: https://lnkd.in/eY4FEtd2 #SEC #whistleblowing #enforcement #financialregulation

How to Make Millions as a Professional Whistleblower

Partner Ian Hargreaves discusses the Director of the Serious Fraud Office's push to pay whistleblowers, and explains why such incentivisation programs must be carefully managed, in Thomson Reuters Regulatory Intelligence.   Follow the link below to read Ian's article in full. #WhiteCollarCrime #Whistleblowers #CorporateCrime

A hot topic in the world of white collar crime, whistleblower pay continues to remain at the top of the agenda for Nick Ephgrave and the SFO - but will this policy result in more successful investigations and prosecutions?   This week I explored this topic in Thomson Reuters Regulatory Intelligence, analysing how this approach to whistleblower incentivisation could provide the SFO with further ammunition in their pursuit of corporate/financial crime - provided that it is carefully managed...

Important measures in financial institutions for staff : Ithical and Fraud Awareness Program in financial institutions it is vital of integrity, compliance, and accountability. This program aim to educate employees about ethical behavior, fraud risks, and regulatory requirements, empowering them to detect and prevent misconduct. #financial #financial_institution