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Fireside Chat: Unknown Risks in M&A – AML Screening and Due Diligence for Corporate Finance

Fireside Chat: Unknown Risks in M&A – AML Screening and Due Diligence for Corporate Finance

by | Aug 6, 2020 | Blog, iComply Insights, Webinars

Fireside Chat: Unknown Risks in M&A

AML Screening and Due Diligence in Corporate Finance

Date: Thursday, August 13, 2020 | 10am PST – 1pm EST – 7pm CET

 

How can firms manage unknown risks as compliance regulations evolve and financial crimes grow more sophisticated?

M&A transactions inevitably pose some level of risk between buyers and sellers. More often than not, M&A transactions are time-sensitive with significant pressure from all sides.

This can often lead to corners being cut during financial crime, money laundering, and terrorist financing due diligence. However, regulatory actions, shareholder lawsuits, and criminal charges can overshadow a deal even years after it has been closed.

Financial crime units and law enforcement have increased their focus on M&A in private capital markets transactions as vehicles for money laundering and financing terrorism. This has raised the bar and heightened regulatory expectations of what is required by all parties involved in a transaction.

Join “Unknown Risks in M&A — AML Screening and Due Diligence in Corporate Finance” session featuring AML and due diligence experts from the M&A industry. In this session, we will cover:

  • Regulators expectations of the acceptable level of due diligence
  • How to take a big picture view of all counterparties in a transaction
  • Preparing due diligence for corporate governance review
  • Remediating insufficient data documentation
  • When to seek independent counsel


We invite you to join us for this Fireside Chat on August 13 featuring an exciting lineup of panelists to learn more about the unknown risks in AML and due diligence for corporate finance M&A transactions. 

Panelists:

  • Matthew Unger, CEO at iComply
  • Gueorgui Gotzev, Partner at Kohler Gotzev
  • Alex Duperouzel, Managing Director at Compliance Asia
  • David Vijan, CRO at Outlier Solutions

Moderated by: Andrew Weiner, Head of Sales at iComply

Register today!

About iComply
iComply Investor Services Inc. (“iComply”) is a Regtech company that provides fully-digital KYC and AML compliance solutions for non-face-to-face financial and legal interactions. iComply enables financial services providers to reduce costs, risk, and complexity and improve staff capacity, effectiveness, and customer experience. By partnering with multinational technology vendors such as Microsoft, DocuSign, Thomson Reuters and Refinitiv, iComply is bringing compliance teams into the digital age. Learn more: www.icomplyis.com

 

Fireside Chat: DAOs and Decentralized Governance

Fireside Chat: DAOs and Decentralized Governance

by | Jul 20, 2020 | Blog, iComply Insights, Webinars

Fireside Chat: DAOs and Decentralized Governance

How Decentralized Autonomous Organizations are Transforming Virtual Assets

Date: Thursday, July 30, 2020 | 10am PST – 1pm EST – 7pm CET

 

The history of DAOs is a short but interesting one. While the very first DAO was officially launched in 2014, the most famous example–The DAO–launched on the Ethereum blockchain in 2016 and raised more than USD $150M over a period of several weeks. Unfortunately, The DAO was exploited by a hacker and was drained of over $70M. Ultimately, the hack resulted in a hard fork of the Ethereum blockchain, returning the funds to the project’s creators.

While DAOs have marked a place in blockchain history, they are often misunderstood. Firstly, the term “DAO” means different things to different people and secondly, many open-ended questions typically come up in conversations about DAOs:

  • What is a DAO?
  • What makes a DAO autonomous in the first place?
  • How do autonomous corporations practice truly decentralized governance today?
  • Can I use a DAO to protect my company’s virtual assets?
  • What makes a DAO a powerful tool in the virtual assets industry?

In a short period of time, the virtual asset marketplace has already gone through several waves of innovation—from initial coin offerings to security token offerings and decentralized finance.

Many experts and industry leaders have touted DAOs as the next major application of blockchain technology that will support virtual assets in the years to come.

Join us for our latest live fireside chat “DAOs and Decentralized Governance: How Autonomous Organizations are Transforming Virtual Assets” along with industry experts and thought leaders to discuss:

  • What a DAO is, and how it functions in today’s global marketplace
  • Key characteristics of DAOs and the pros/cons of each
  • How virtual assets are being created and supported by DAOs
  • Compliance considerations for creating and belonging to a DAO (reducing fraud and misuse of funds)
  • Examples of DAOs in the marketplace (digital co-ops, guilds, mutuals, etc.)


We invite you to join us for this Fireside Chat on July 30th featuring an exciting lineup of panelists to learn more about DAOs and the role of decentralized governance.

Register today!

About iComply
iComply Investor Services Inc. (“iComply”) is a Regtech company that provides fully-digital KYC and AML compliance solutions for non-face-to-face financial and legal interactions. iComply enables financial services providers to reduce costs, risk, and complexity and improve staff capacity, effectiveness, and customer experience. By partnering with multinational technology vendors such as Microsoft, DocuSign, Thomson Reuters and Refinitiv, iComply is bringing compliance teams into the digital age. Learn more: www.icomplyis.com

 

Networks of Trust: How Digital Identity Can Solve Key Barriers to Transformation in Financial Services

Networks of Trust: How Digital Identity Can Solve Key Barriers to Transformation in Financial Services

by | Jun 18, 2020 | Blog, iComply Insights, Webinars

Fireside Chat – Networks of Trust

How Digital Identity Can Solve Key Barriers to Transformation in Financial Services

Date: Thursday, July 16, 2020, 10am PST – 1pm EST – 7pm CET

 

Can digital identity unlock new business models in financial services?
Will new regulations for privacy, client authentication, and data impact my IT infrastructure?

As an industry, financial service providers are just beginning to decipher these questions. New initiatives such as digital charters, open banking, and verified networks of trust have made significant technological progress but lack a common standard or interoperability. Without a trusted and ubiquitous framework for digital identity authentication, however, these applications are limited in their potential to isolated networks.

Join “Networks of trust: how digital identity can solve key barriers to transformation in financial services” live fireside chat with industry experts and thought leaders to discuss:

  • What is digital identity? Key characteristics of digital identities
  • What are the barriers to mass consumer adoption of digital identity?
  • Can single sign-on solutions or identity and access management providers be used to improve the client experience of KYC procedures?


Join this Fireside Chat on digital identity on June 25th, featuring a live panel of industry experts and thought leaders across various industries on this critical aspect of the future of financial services.

Register today!

About iComply
iComply Investor Services Inc. (“iComply”) is a Regtech company that provides fully-digital KYC and AML compliance solutions for non-face-to-face financial and legal interactions. iComply enables financial services providers to reduce costs, risk, and complexity and improve staff capacity, effectiveness, and customer experience. By partnering with multinational technology vendors such as Microsoft, DocuSign, Thomson Reuters and Refinitiv, iComply is bringing compliance teams into the digital age. Learn more: www.icomplyis.com

 

Digital Securities: 2020 & Beyond

Digital Securities: 2020 & Beyond

by | Jun 3, 2020 | Blog, iComply Insights, Webinars

Fireside Chat – Digital Securities: 2020 and Beyond

What Is The Next Chapter For Digital Securities?

Date: Thursday, June 25, 2020, 10am PST – 1pm EST – 7pm CET

 

Are Stablecoins, Money Market Tokens, and Structured Products The Next Big Thing in Digital Securities?

Digital securities – an electronic representation of shares, equity, debt on public blockchain – have attracted the attention of the world’s largest banks and corporations for their potential to reduce transaction costs and friction, increase liquidity and transparency in capital markets.

Recently, World Bank Group, JPMorgan, and Societe Generale have made headlines with debt securities and stablecoins. Despite leading experts worldwide predicting the global expansion of digital securities and interest from institutional players is growing – we are still far from mainstream adoption.

iComply is hosting a “Digital Securities: 2020 & Beyond” fireside chat to discuss the current state of the digital securities industry, the role of regulation in mass adoption, as well as benefits and pitfalls of putting structured financial instruments onto public blockchains:

  • Overhyped or underestimated: what is the real value that digital securities can bring to the financial industry
  • Digital securities regulation: what are the key regulatory updates and trends to watch related to digital securities?
  • The future of digital securities: is institutional adoption happening and when?


Register below for free to join the discussion with the leading experts in finance and blockchain.

Register Now

Panelists:

  • Joel Telpner, Senior Partner, Sullivan & Worcester
  • Matthew Unger, CEO, iComply Investor Services
  • Cathy Yoon, Special Counsel, Katten Muchin Rosenman 
  • Arnaud Salomon, CEO, Mt Pelerin

About iComply
iComply Investor Services Inc. (“iComply”) is a Regtech company that provides fully-digital KYC and AML compliance solutions for non-face-to-face financial and legal interactions. iComply enables financial services providers to reduce costs, risk, and complexity and improve staff capacity, effectiveness, and customer experience. By partnering with multinational technology vendors such as Microsoft, DocuSign, Thomson Reuters and Refinitiv, iComply is bringing compliance teams into the digital age. Learn more: www.icomplyis.com

 

Out of the Filing Cabinet, Into the Cloud

Out of the Filing Cabinet, Into the Cloud

by | May 28, 2020 | Blog, iComply Insights, Webinars

Fireside Chat: Out of the Filing Cabinet, Into the Cloud

How Digital Onboarding is Transforming Financial Services

Date: Thursday, June 11, 2020, 10am PST – 1pm EST – 7pm CET

 

Does KYC friction impact my ability to gain or retain market share? When it comes to onboarding a new client, financial service providers, online gaming platforms, professional service providers, and virtual asset service providers are facing increasingly complex regulatory burdens from privacy, data security, KYC, and AML legislation.

Our panel of experts will be discussing the key benefits, risks, and considerations of taking your traditional, manual onboarding procedures out of the filing cabinet and moving to automated workflows in the cloud.

Together with the leading experts in digital identity, KYC, AML, and risk management we will discuss:

  • What is digital onboarding: KYC and AML best practices
  • Traditional onboarding: cost and risks of manual procedures
  • Evolution of the onboarding workflow: tips for creating your roadmap
Register Now

Panelists 

  • Matthew Unger, CEO, iComply Investor Services
  • Denisse Rudich, Director, Rudich Consulting
  • Lav Odorovic, CEO, Forto CH 
  • Matt McGuire, Cofounder, AML Shop
  • Mariela Tanchez, Director of Marketing, Bitfoliex

About iComply
iComply Investor Services Inc. (“iComply”) is a Regtech company that provides fully-digital KYC and AML compliance solutions for non-face-to-face financial and legal interactions. iComply enables financial services providers to reduce costs, risk, and complexity and improve staff capacity, effectiveness, and customer experience. By partnering with multinational technology vendors such as Microsoft, DocuSign, Thomson Reuters and Refinitiv, iComply is bringing compliance teams into the digital age. Learn more: www.icomplyis.com

 

Risk in Digital Assets and Cryptocurrency: What Every CIO and CCO Needs to Know

Risk in Digital Assets and Cryptocurrency: What Every CIO and CCO Needs to Know

by | Sep 10, 2019 | Blog, iComply Insights, Webinars

Live Webinar: What Financial Institutions Need to Know About Cryptocurrency

Date: Wednesday, September 18, 2019, 11 am -12 pm EST

 

Public blockchains – and the cryptocurrencies running on them – are here to stay. Capital flows through cryptocurrencies, such as Bitcoin or Ethereum, continue to increase with some analysts forecasting that Bitcoin will soon surpass a $1T USD market cap. Meanwhile, the People’s Bank of China claims their state-backed “crypto RMB” will be “quite similar to” Facebook’s Libra Project, which is yet another project to spark global discussion. How do financial institutions manage risk related to digital assets and cryptocurrencies? 

In this webinar, Dan Peak, Board Advisor at CaseWare RCM and former CEO for World-Check (now Refinitiv) and Greg Pinn,  Head of Product Strategy at iComply Investor Services and former Head of Product at Thomson Reuters World-Check will discuss systematic processes that every financial institution should go through when evaluating the risks associated with cryptocurrencies and effective mitigation strategies.

Learn More

Join us for this discussion covering:

  • Overview of cryptocurrency and cryptocurrency regulated businesses
  • Business challenges associated with working with cryptocurrencies
  • High-level view of the current regulatory landscape
  • Differences between risks associated with fiat and cryptos
  • How to manage onboarding, screening, transaction monitoring and regulatory reporting with cryptocurrencies

Sponsored by Refinitiv
Serving more than 40,000 institutions in over 190 countries, Refinitiv provides information, insights and technology that drive innovation and performance in global financial markets. Our heritage of integrity enables our customers to make critical decisions with confidence while our best-in-class data and cutting-edge technologies enable greater opportunity.

Register Now

About Alessa
Alessa (formerly known as CaseWare Monitor), is a product of Caseware International and is used in more than 20 countries by banking, insurance, FinTech, gaming, manufacturing, and retail companies to identify high-risk entities and activities early, engage the business to investigate and remediate any potential issues and comply with regulations. This is achieved by seamlessly making fraud prevention and compliance part of business day-to-day activities.

About iComply
iComply Investor Services Inc. (iComply) is an award-winning software company focused on reducing regulatory friction in the capital markets. With powerful data, verification, and technology solutions, iComply helps companies overcome the cost and complexity of multi-jurisdictional compliance to effectively access new markets. Learn more: iComplyIS.com