The Role of Enhanced Due Diligence and UBO in Tech Industry Compliance
To address these challenges, concepts like enhanced due diligence (EDD) and ultimate beneficial ownership (UBO) have ...
Info Risk Today11d
Uncovering Risk With Social Due Diligence
Traditional KYC and AML methods are often insufficient, missing critical indicators visible through social media. Enhanced ...
Investopedia8d
Due Diligence in 10 Easy Steps
Due diligence is the investigation of a product or a potential investment such as a stock to confirm all facts. It can include reviewing all financial records and past company performance plus ...
Compliance Week13d
SEC fines LPL Financial $18M for failed due diligence on new, high-risk accounts
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...
JD Supra4d
Navigating Financial Services M&A: Observations from Regulatory Due Diligence
As we move into 2025, anticipation in the financial services industry continues to build for a revitalized mergers and acquisitions (M&A) market.