Category Archives: Operational Procedures
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Private Lives
Leave a commentJanuary 24, 2013 by eric9to5
Watchlists are not just the stuff of regulation; they can also be how the firm institutes its own set of …
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It’s a matter of trust – or is it?
Leave a commentJanuary 21, 2013 by eric9to5
Yes, this is a follow-on to my “Who does what” post – because there was an element I wanted to …
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How hard do you look?
Leave a commentJanuary 17, 2013 by eric9to5
I have a mantra that I always use during training (and often on sales calls): we’re in the business of …
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Time is of the essence
Leave a commentJanuary 16, 2013 by eric9to5
An essential question of any watchlist screening program is “when”, which actually comes in two flavors: When does the company’s …
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Who does what
Leave a commentJanuary 15, 2013 by eric9to5
Determining which staff members can perform which functions, and can access which pieces of data, and can do what with …
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No job is complete…
Leave a commentJanuary 14, 2013 by eric9to5
…until the paperwork is done. And there is more paperwork than you might think. Of course, if you get a …
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What’s the frequency, Kenneth?
Leave a commentJanuary 7, 2013 by eric9to5
In a recent post, I suggested that workflow design be dictated, to some extent, by volumes. If you have lots …
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Set phasers (not) to stun!
Leave a commentDecember 31, 2012 by eric9to5
A lot of this seems daunting, doesn’t it? So many possible lists, system settings to consider… and so much work …
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The delicate balance of watchlist screening
Leave a commentDecember 20, 2012 by eric9to5
Balance? What’s balance? Balance between the costs of compliance and the potential costs of non-compliance, of course. But, but, but… …
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Are you drowning in PEPs?
Leave a commentDecember 7, 2012 by eric9to5
If you are, and you belong to ACAMS, you can check out my article (over at ACAMSToday.org or on the …
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