Compliance Officers Playbook
Episodes
Nationwide Fined £44 Million by the FCA: Inside the UK’s Biggest AML Failings
15 Dec 2025
Contributed by Lukas
In this episode, we break down the Financial Conduct Authority’s Final Notice against Nationwide Building Society, which resulted in a £44.1 millio...
FCA’s New Single Complaints Return: What It Means for Firms, Markets & Vulnerable Consumers
08 Dec 2025
Contributed by Lukas
In this episode, we break down the Financial Conduct Authority’s (FCA) latest move to simplify and strengthen the way complaints are reported across...
Cocaine in the Banana Boxes: Inside the Noboa Trading Smuggling Scandal Exposed by OCCRP | Your Compliance Officers Playbook
05 Dec 2025
Contributed by Lukas
In this Compliance Officers Playbook podcast episode, we unpack a gripping cross-border investigation from OCCRP and KRIK that reveals how Balkan orga...
The Myth of the Risk Heat Map: Why Those Colorful Charts Can Undermine Real Risk Management - Compliance Officers Playbook
05 Dec 2025
Contributed by Lukas
Freemium Episode: In this Compliance Officers Playbook podcast episode, we take a critical look at one of the most widely used—but deeply flawed—t...
AMLD6 and the Rise of AMLA: How the EU’s New Framework Transforms Beneficial Ownership Transparency
04 Dec 2025
Contributed by Lukas
In this episode, we break down the European Union’s sweeping overhaul of its anti–money laundering and counter-terrorist financing framework under...
Freemium - Inside the SFO’s Corporate Compliance Playbook: How Companies Are Evaluated—and Why It Matters
03 Dec 2025
Contributed by Lukas
In this episode, we unpack the Serious Fraud Office’s newly detailed guidance on how corporate compliance programmes are evaluated across England, N...
EU Designates Russia High-Risk for Financial Crime
03 Dec 2025
Contributed by Lukas
The European Commission announced in December 2025 that it has officially designated Russia as a high-risk jurisdiction due to serious strategic wea...
Freemium - Unpacking Morgan Stanley's €101 Million Dividend Tax Penalty
02 Dec 2025
Contributed by Lukas
In this episode, we unpack the major enforcement action taken against Morgan Stanley after Dutch authorities uncovered its role in coordinated tax eva...
Quiet Failures in Compliance: How Everyday Oversights Lead to Major Crises
02 Dec 2025
Contributed by Lukas
In this episode, we explore the ideas behind “Compliance: Quiet Failure, Safe Guardrails,” a compelling look at how organisational breakdowns rare...
Freemium - Why Coinbase’s €21.5M Fine Signals a New Era of EU Crypto Compliance Under AMLA
02 Dec 2025
Contributed by Lukas
In this episode, we break down the landmark €21.5 million fine issued to Coinbase Europe Ltd by the Central Bank of Ireland—a ruling widely seen a...
Freemium - Digital Compliance: GDPR Enforcement and AI Convergence
01 Dec 2025
Contributed by Lukas
In this episode, we unpack the increasingly complex landscape of the EU’s digital regulatory regime—one that continues to evolve around the founda...
Wise Unlocks South African Payments Gateway
01 Dec 2025
Contributed by Lukas
In this episode, we dive into Wise’s major move into the African market, starting with its newly launched operations in South Africa. After securing...
Australia's $82 Billion Organized Crime Bill, 2023–24
30 Nov 2025
Contributed by Lukas
In this episode, we break down the Australian Institute of Criminology’s latest statistical report on the true economic toll of serious and organise...
Freemium - Offshore Secrecy: Assessing UK Overseas Territory Transparency
30 Nov 2025
Contributed by Lukas
In this episode, we unpack Transparency International UK’s 2025 assessment of how the UK’s Overseas Territories are progressing—or failing to pr...
Freemium - PSD3 and PSR: Securing the Future of EU Payments
30 Nov 2025
Contributed by Lukas
In this episode, we break down the major political agreement just reached by EU lawmakers on two transformative pieces of legislation: the Payment Ser...
Binance Pardoned Crypto (CZ) Faces Hamas Funding Lawsuit
27 Nov 2025
Contributed by Lukas
In this episode, we dig into the new civil lawsuit recently filed by American citizens against Changpeng Zhao (CZ) and Binance. The plaintiffs — fam...
Freemium - FCA Regulatory Approach to Cryptoassets and Stablecoins.
27 Nov 2025
Contributed by Lukas
In this episode, we explore the UK Financial Conduct Authority’s evolving approach to crypto regulation, drawing on key excerpts from the FCA’s ma...
Freemium - The Cost of Postponing Compliance: CSSF fines AllianzGI Luxembourg for AML/CFT failures
26 Nov 2025
Contributed by Lukas
In this episode, we examine the story behind a major regulatory enforcement action in Luxembourg’s financial sector: the €283,000 administrative f...
Freemium - New Zealand No Longer Requires Address Verification for Customer Due Diligence.
26 Nov 2025
Contributed by Lukas
In this episode, we break down a sweeping Statutes Amendment Bill—an omnibus legislative package crafted to update and refine large sections of the ...
AMLA In-depth Analysis: Future of EU Anti-Money Laundering and Supervision - Freemium
25 Nov 2025
Contributed by Lukas
n this episode, we unpack a deep-dive analysis from the European Parliament’s Economic Governance and EMU Scrutiny Unit (EGOV) on one of the EU’s ...
Record OFAC Sanctions Fine Against a Single Individual for Blocked Property Deal
25 Nov 2025
Contributed by Lukas
In this episode, we dive into a landmark enforcement action from the U.S. Treasury’s Office of Foreign Assets Control (OFAC): the largest financial ...
Financial Sanctions Risk, Compliance, and Long-Term Strategy
23 Nov 2025
Contributed by Lukas
In this episode, we break down the real—and often misunderstood—world of sanctions risk for financial institutions. Forget the idea that simply av...
Tone Versus Orders From The Top: The Board's Role in Compliance Culture
23 Nov 2025
Contributed by Lukas
In this episode, we unpack the crucial difference between two very different leadership approaches to corporate integrity: “Tone from the Top” vs....
The Burden of the MLRO Role
23 Nov 2025
Contributed by Lukas
In this episode, we dive into the high-pressure world of the Money Laundering Reporting Officer — a role that’s essential to protecting financial ...
AI's Impact on Internal Audit: Challenges and Transformation - (Freemium)
14 Sep 2025
Contributed by Lukas
In this episode, we explore how Artificial Intelligence (AI) is reshaping the internal audit profession. While there’s widespread agreement that AI ...
FATF 2025: Money Laundering Risk Assessment Toolkit
14 Sep 2025
Contributed by Lukas
The FATF (Financial Action Task Force) Toolkit provides a comprehensive framework for conducting National Risk Assessments (NRAs) on money laundering ...
Internal Audit's Strategic Evolution: Navigating Future Risks - (Freemium)
14 Sep 2025
Contributed by Lukas
In this episode, we explore the evolving role of Internal Audit under the Global Internal Audit Standards (GIAS 2024). Once seen primarily as a compli...
Freemium - Navigating Risk: From Certainty to Resilience
13 Sep 2025
Contributed by Lukas
In this episode, we explore the complex and often uncomfortable world of risk management, especially for those with a perfectionist mindset. Unlike co...
Freemium - Swiss AML Debate: Credibility vs. Competitiveness
13 Sep 2025
Contributed by Lukas
In this episode, we dive into Switzerland’s heated debate over proposed anti-money laundering (AML) reforms driven by FATF recommendations. Lawmaker...
Georgia’s Defense Minister Charged with Abuse and Money Laundering
13 Sep 2025
Contributed by Lukas
In this episode, we examine the corruption and money laundering case involving Georgia’s former Defense Minister, Juansher Burchuladze. According to...
FinCEN Targets Chinese Money Laundering Networks
07 Sep 2025
Contributed by Lukas
In this episode, we explore a recent advisory from the Financial Crimes Enforcement Network (FinCEN) on the growing threat of Chinese Money Laundering...
Freemium - Bunq Fined €2.6 Million for AML Failures
07 Sep 2025
Contributed by Lukas
In this episode, we cover the recent case of Dutch neobank Bunq, which has been fined €2.6 million by the Dutch central bank for repeated failures i...
Freemium - Abramovich's Billions: Corruption and Money Laundering Investigation in Jersey
07 Sep 2025
Contributed by Lukas
In this episode, we examine the ongoing criminal investigation into Roman Abramovich, former owner of Chelsea FC, led by Jersey authorities. The probe...
Freemium - Europe's New Anti-Money Laundering Authority (AMLA): A New Era
18 Aug 2025
Contributed by Lukas
In this episode, we introduce the Authority for Anti-Money Laundering and Countering the Financing of Terrorism (AMLA), the European Union’s new dec...
Freemium - Dormant Accounts: Risks, Management, and Best Practices
13 Aug 2025
Contributed by Lukas
In this episode, we unpack the multifaceted world of dormant accounts—what they are, the risks they pose, and how they’re managed across different...
FCA Convicts Daniel Pugh for £1.3M Ponzi Scheme
13 Aug 2025
Contributed by Lukas
In this episode, we cover a recent enforcement case from the UK’s Financial Conduct Authority (FCA) involving the conviction of Daniel Pugh, who ran...
Beyond Financial Crime, ESG and Risk and Conduct Risk in Modern Compliance - Freemium
10 Aug 2025
Contributed by Lukas
In this episode, we shine a spotlight on major financial crimes—money laundering, fraud, bribery, corruption, and market abuse—unpacking their def...
Mastering GRC: Driving Practical Compliance and Culture - Freemium
09 Aug 2025
Contributed by Lukas
In this episode, we focus on the real-world application of Governance, Risk, and Compliance (GRC) within organisations. We break down what effective G...
Global Travel Rule: VASP Compliance Across Jurisdictions
09 Aug 2025
Contributed by Lukas
This episode provides an overview of the Travel Rule's implementation across various global jurisdictions. The Travel Rule requires Virtual Asset Ser...
EU AI Act: Guidelines on Prohibited Practices
09 Aug 2025
Contributed by Lukas
The European Commission published guidelines in 2025 outlining prohibited artificial intelligence (AI) practices as defined by Regulation (EU) 2024/16...
FCA Review: Ongoing Financial Advice Services Analysis & Guidance
25 Feb 2025
Contributed by Lukas
The Financial Conduct Authority (FCA) examined ongoing financial advice services to ensure consumers receive the services they pay for. The review an...
Bybit Hack: Multi-Sig Exploit, WazirX Connection, Security Lessons
25 Feb 2025
Contributed by Lukas
Covering an article from Merkle Science reports on a $1.5 billion hack of the Bybit cryptocurrency exchange, highlighting vulnerabilities in multi-sig...
EU Sanctions Regarding Human Rights Violations in Russia
24 Feb 2025
Contributed by Lukas
The European Union has enacted significant sanctions against Russia in response to human rights abuses, its aggression against Ukraine, and hybrid th...
Evaluating the European AI Office's AI Literacy Practices Repository
23 Feb 2025
Contributed by Lukas
This Episode covers the the European AI Office's repository of AI literacy practices, which is intended to help companies comply with EU regulatio...
The Cost of Sanctions: Impacts on Russian Imports
23 Feb 2025
Contributed by Lukas
This research from CEPII examines the economic impact of sanctions on Russia, particularly concerning strategic and dual-use goods. Sanctions do not ...
WGS Solicitors Fined for Money Laundering Breaches
23 Feb 2025
Contributed by Lukas
A law firm, WGS Solicitors, and one of its partners, Bridget Catherine Miller, have been penalised by the Solicitors Disciplinary Tribunal (SDT) for b...
UK Gambling: AI, Crypto, and AML Compliance Risks
20 Feb 2025
Contributed by Lukas
FinCrime Central reports that the UK Gambling Commission is concerned about the gambling industry's AML compliance, highlighting failures in scrut...
Trump's Executive Order Targets Independence of Regulatory Agencies
20 Feb 2025
Contributed by Lukas
The White House document details an executive order mandating increased Presidential oversight of independent regulatory agencies. This order seeks t...
Trump Administration's Pause on FCPA Enforcement: Implications and Analysis
20 Feb 2025
Contributed by Lukas
A recent executive order signed by President Trump has paused future investigations and enforcement actions related to the Foreign Corrupt Practices A...
Britain's Role in Combating Global Corruption After US Retreat
19 Feb 2025
Contributed by Lukas
The episode highlights a shift in global anti-corruption efforts, spurred by the US's recent decision to retreat from this arena. It argues that ...
Hong Kong's Virtual Asset Market: An "A-S-P-I-Re" Roadmap
19 Feb 2025
Contributed by Lukas
Hong Kong's Securities and Futures Commission (SFC) has released a regulatory roadmap called "A-S-P-I-Re" to future-proof the region'...
AI-Driven Crypto Fraud: Risks, Regulation, and Exchange Compliance
19 Feb 2025
Contributed by Lukas
Criminal elements are increasingly exploiting cryptocurrency platforms, utilising sophisticated technologies like AI to perpetrate fraud and launder i...
London Property Empire Hidden by Offshore Trusts
19 Feb 2025
Contributed by Lukas
An OCCRP investigation reveals how the family of Azerbaijan's president used offshore trusts to conceal ownership of hundreds of millions of dollars w...
AUSTRAC Investigates Australian Crypto Exchanges for Money Laundering
18 Feb 2025
Contributed by Lukas
AUSTRAC, the Australian financial crimes regulator, is scrutinising cryptocurrency exchanges due to concerns about money laundering and the financing ...
EU Tax Haven List Update: February 2025
18 Feb 2025
Contributed by Lukas
The Council of the European Union updated its list of non-cooperative tax jurisdictions, retaining the same 11 nations previously identified. The upd...
Mauritius: Ex-PM Arrested in Money-Laundering Scandal; AML Focus
17 Feb 2025
Contributed by Lukas
FinCrime Central reports the arrest of former Mauritius Prime Minister Pravind Jugnauth amidst a money-laundering scandal. The article details allega...
Marine Re/Insurers, Shadow Fleets, and Sanctions: Navigating Regulatory Pressures
17 Feb 2025
Contributed by Lukas
Increased scrutiny of shadow fleets is causing waves in marine re/insurance as regulatory bodies intensify sanction enforcement, particularly concern...
Largest Crypto Crimes in History
17 Feb 2025
Contributed by Lukas
Discussing Amlcube.com 's recent document covering five of the most significant crypto crimes in history. The report highlights collapses at FTX,...
AI-Driven Financial Crime: South African Banks' Compliance Response
17 Feb 2025
Contributed by Lukas
South African financial institutions face a rising tide of financial crime enabled by artificial intelligence. Nearly 60% have observed an increase i...
McKinsey on Risk: Strategic Resilience, Risk Management, and Digital Transformation
16 Feb 2025
Contributed by Lukas
The collection of articles from McKinsey on Risk addresses institutional resilience in the face of global challenges. It emphasises strategic approac...
Crypto-Assets: Lending, Borrowing, Staking, DeFi Developments & Risks
16 Feb 2025
Contributed by Lukas
Crypto lending, borrowing, and staking involve users transferring crypto-assets in exchange for collateral or future returns. This system, along with...
ECB Clarification: ICAAPs, ILAAPs, and Package Submissions
15 Feb 2025
Contributed by Lukas
This European Central Bank (ECB) document clarifies supervisory expectations for banks' Internal Capital Adequacy Assessment Processes (ICAAPs) an...
AI and Blockchain: Revolutionizing Regulatory Compliance in Finance
15 Feb 2025
Contributed by Lukas
The episode explores the convergence of artificial intelligence (AI) and blockchain technology within Regulatory Technology (RegTech) to modernise reg...
Trump's Trade Tariffs: IEEPA and International Trade Disputes
14 Feb 2025
Contributed by Lukas
During Donald Trump's presidency, the United States shifted from using the Trade Act of 1974 to the International Emergency Economic Powers Act (I...
DeFi Cross-Border Payments: BIS Innovation with Project Rialto
14 Feb 2025
Contributed by Lukas
This episode discusses Project Rialto, an initiative exploring how decentralised finance (DeFi) can improve cross-border payments. The Bank for Inter...
AI Reshaping The Banking Sector
14 Feb 2025
Contributed by Lukas
Artificial intelligence is significantly reshaping the banking sector by improving efficiency, mitigating risks, and personalising customer interactio...
Web3: The Next Iteration of the Internet and Compliance Implications
14 Feb 2025
Contributed by Lukas
This episode provides an overview of Web3, the next iteration of the internet built on blockchain technology. It distinguishes Web3 from its predeces...
Stablecoin Legislation: Maxine Waters' Financial Services Committee Proposal
13 Feb 2025
Contributed by Lukas
This Episodedetails proposed US legislation concerning payment stablecoins. The legislation establishes a framework for regulating both bank and non-...
EU Invests €200 Billion in Artificial Intelligence Initiative
13 Feb 2025
Contributed by Lukas
The European Commission has launched InvestAI, an initiative to mobilise €200 billion for investment in artificial intelligence (AI), including a ne...
EU Withdraws AI Liability Directive After US Criticism
13 Feb 2025
Contributed by Lukas
Euractiv reports that the European Commission withdrew its AI liability directive following criticism, notably from US Vice-President JD Vance, at the...
2024 Crypto Crime Report by TRM Lab
10 Feb 2025
Contributed by Lukas
TRM Lab's 2025 Crypto Crime Report analyses key trends in illicit cryptocurrency activities during 2024. While overall crypto transaction volume ...
FCA Priorities for Payment Firms: 2025 and Beyond
09 Feb 2025
Contributed by Lukas
The Financial Conduct Authority (FCA) outlines its priorities for payment firms operating under Payment Services Regulations 2017 and Electronic Money...
West Virginia Man Pleads Guilty to Money Laundering
09 Feb 2025
Contributed by Lukas
The U.S. Department of Justice press release details the case of James E. Monroe Jr., who pleaded guilty to money laundering in the Southern District ...
Global Cybersecurity Outlook 2025
08 Feb 2025
Contributed by Lukas
The "Global Cybersecurity Outlook 2025" report from the World Economic Forum, in collaboration with Accenture, examines the escalating compl...
TradFi and DeFi: The Future of Banking
08 Feb 2025
Contributed by Lukas
In this episode we are discussing a document by Krzysztof Gogol, (a PhD Candidate, University of Zurich Co-founder DeFi AM) covering the convergence o...
Designating Cartels as Foreign Terrorist Organizations: Executive Order 2025
08 Feb 2025
Contributed by Lukas
A presidential Executive Order from January 2025 outlines a new national security policy. The order aims to designate international cartels and trans...
Vietnam Data Regulations: New Draft Decrees and Compliance
08 Feb 2025
Contributed by Lukas
Vietnam is establishing a comprehensive legal framework for data governance, recognising data as a key national asset. The National Assembly passed t...
MiCAR and Overlapping EU Financial Regulations: MIFID II, PSD2 & DORA
07 Feb 2025
Contributed by Lukas
This episode explores the intricate regulatory landscape facing crypto-asset service providers (CASPs) in the EU. While MiCAR provides a specific fra...
MiCAR: Challenges and Opportunities for Crypto Businesses in the EU
07 Feb 2025
Contributed by Lukas
The Markets in Crypto-Assets Regulation (MiCAR) introduces a significant regulatory framework for crypto businesses operating within the EU. This leg...
MiCAR: EU Crypto Regulation, A Unified Framework
07 Feb 2025
Contributed by Lukas
MiCAR (Markets in Crypto-Assets Regulation) establishes a unified framework for regulating crypto-assets across the EU, moving beyond anti-money laund...
MiCAR: Addressing Crypto Risks in the Fragmented Pre-MiCAR Environment
07 Feb 2025
Contributed by Lukas
Before MiCAR, the European Union grappled with inconsistently applied crypto regulations, primarily focused on anti-money laundering, leading to a fra...
FCA Enforcement Investigations: Transparency, Regulation, and Market Impact
07 Feb 2025
Contributed by Lukas
The House of Lords Financial Services Regulation Committee produced a report examining the Financial Conduct Authority's (FCA) consultation CP24/2...
UK Banks' Consumer Duty Compliance: An FCA Warning
07 Feb 2025
Contributed by Lukas
The UK's Financial Conduct Authority (FCA) has expressed concerns about banks' insufficient integration of Consumer Duty principles. They sug...
Navigating Conflict in Security, Audit, and GRC
06 Feb 2025
Contributed by Lukas
An example of a conflict during a SOC 2 audit finding discussion and analyses how it escalated. It highlights the importance of understanding differi...
Global AI Law Snapshot: EU, China, USA
06 Feb 2025
Contributed by Lukas
The Global AI Law Snapshot compares AI governance across the EU, China, and the USA. It focuses on legal instruments impacting organisations that dev...
Brink's $37 Million Penalty for Bank Secrecy Act Violations
06 Feb 2025
Contributed by Lukas
The Financial Crimes Enforcement Network (FinCEN) has fined Brink's Global Services USA £29.2 million for wilful violations of the Bank Secrecy Act (...
Combating Cryptocurrency Financial Crime: COPOLAD Training
05 Feb 2025
Contributed by Lukas
In this episode, we dive into the world of cryptocurrency and financial crime, exploring key insights from a training manual developed by COPOLAD III ...
Money Laundering in Iran: A Capital Flight Approach
05 Feb 2025
Contributed by Lukas
This episode covers a research paper which assesses money laundering in Iran's economy from 1995 to 2022. Employing a novel combined method based ...
New Sanctions Coming Up! Trump Restoring Maximum Pressure on Iran
05 Feb 2025
Contributed by Lukas
This White House fact sheet from February 2025 details President Trump's renewed "maximum pressure" campaign against Iran. The policy a...
MONEYVAL's 2026 Isle of Man AML Evaluation
05 Feb 2025
Contributed by Lukas
The Isle of Man Financial Services Authority announced that MONEYVAL, a committee of the Council of Europe, will conduct an on-site evaluation of the ...
ESMA Supervisory Briefing: MiCA CASP Authorisation
04 Feb 2025
Contributed by Lukas
We are covering recent ESMA supervisory document which offers guidance to National Competent Authorities (NCAs) on the authorisation of Crypto-Asset ...
New EU Directive on Combating Corruption! Things You Need To Know.
04 Feb 2025
Contributed by Lukas
This episode discusses the European Parliamentary Research Service (EPRS) which examines the European Commission's proposed directive on combating...
OCCRP Investigation: Shadow Fleet, Western Ships Fueling Russia's War
04 Feb 2025
Contributed by Lukas
A joint investigation reveals how US and EU shipping companies have profited handsomely from selling older oil tankers, which subsequently joined a &q...
Developing a Strong Compliance Strategy: 8 Strategic Steps.
03 Feb 2025
Contributed by Lukas
This episode catalogs Euronext's investor relations, compliance, and corporate governance services. It covers software solutions for insider list ...
Illicit Finance and English Premier League (EPL) Club Ownership
03 Feb 2025
Contributed by Lukas
This episode discusses an article from Sport in Society examines the ownership structures of English Premier League football clubs, analysing their ...
Data Protection and Competition Law: Synergies and Cooperation
03 Feb 2025
Contributed by Lukas
This episode covers a recent paper from the European Data Protection Board (EDPB) that examines the interplay between data protection and competition ...
Bank of Vici Consent Order
02 Feb 2025
Contributed by Lukas
Discussing a Consent Order which is issued jointly by the Federal Deposit Insurance Corporation (FDIC) and the Oklahoma State Banking Department to th...
ECB Decision on Non-Bank Payment Service Provider Access
02 Feb 2025
Contributed by Lukas
This European Central Bank decision outlines rules for non-bank payment service providers (NB-PSPs) accessing Eurosystem payment systems and central b...
Regulation by Design (RBD) And Its Application Within Digital Technologies
02 Feb 2025
Contributed by Lukas
This episode presents a qualitative thematic synthesis of existing literature on Regulation by Design (RBD), focusing on its application within digita...
AI Governance and Risk Management in Central Banks
02 Feb 2025
Contributed by Lukas
This episode covers a report from the Bank for International Settlements (BIS) which provides guidance on the governance and risk management of artifi...