AssureSwarm

risk

Money laundering, sanctions and financial-crime program failures

Failure to prevent money laundering or terrorist financing, file SARs/CTRs, perform adequate KYC/beneficial-ownership due diligence, screen for PEPs, or avoid processing transactions for OFAC-sanctioned parties; BSA/AML program deficiencies.

Record JSON · Open in map · Data retrieval guide

Catalog revision: 24028ffcfc2b295fa1b08ee6caa84b765f0731b321496bf4f548c49ad2177028. A connection does not establish full coverage.

Attributes

category
compliance_regulatory
domain
  • Compliance, Audit & Assurance
  • Risk Assessment & Management
  • Governance, Policy & Oversight
taxonomy
  • enterprise-risk
  • basel-operational-risk
  • coso-erm-risk
inherent_rating
high

Details

risk_id
fin-crime-aml-sanctions
category
compliance_regulatory
likelihood
medium
impact
high
inherent_rating
high
treatment
mitigate
taxonomies
  • enterprise-risk
  • basel-operational-risk
  • coso-erm-risk

Source

No record-specific source URL is provided.

Connections