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Navigating Today's Anti-money Launde...

Penix, Michael.

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Navigating Today's Anti-money Laundering Terrain; With a Focus on Annuities.

Record Type:	Electronic resources : Monograph/item
Title/Author:	Navigating Today's Anti-money Laundering Terrain; With a Focus on Annuities./
Author:	Penix, Michael.
Published:	Ann Arbor : ProQuest Dissertations & Theses, : 2020,
Description:	48 p.
Notes:	Source: Masters Abstracts International, Volume: 81-11.
Contained By:	Masters Abstracts International81-11.
Subject:	Banking. -
Online resource:	https://pqdd.sinica.edu.tw/twdaoapp/servlet/advanced?query=27964461
ISBN:	9798644902514

Navigating Today's Anti-money Laundering Terrain; With a Focus on Annuities.
Penix, Michael.

Navigating Today's Anti-money Laundering Terrain; With a Focus on Annuities. - Ann Arbor : ProQuest Dissertations & Theses, 2020 - 48 p.

Source: Masters Abstracts International, Volume: 81-11.

Thesis (M.S.)--Utica College, 2020.

This item must not be sold to any third party vendors.

Annuities are considered a high-risk product due to possibility of using them as a vehicle for money laundering. Money laundering is a serious crime and organizations that deal in high-risk products such as annuities are expected to have an anti-money laundering program in place in order to curtail any illicit transfer of funds. The anti-money laundering program follows guidelines set up by regulatory organizations that implement industry standards as a framework for handling these matters. It is well-known in today's regulatory environment that organizations that fail to meet the standards laid out by regulators risk civil and criminal charges-both as an organization and as individuals. There is a strong need for organizations to recognize and be compliant with rules set forth by governing agencies. Failure to do so leads to may lead to significant financial sanctions against businesses. This is more likely with the trend of not only businesses but individuals as well being charged civilly and criminally for gaps in compliance and willful negligence. There appears to be a significant lack of research for money laundering as it relates to annuities specifically. This may be a result of an industry more focused on primary banking activities. It will likely prove beneficial if organizations focus on sharing information with each other. Additionally, should businesses and academia collaborate on AML trends it may also lead to success and innovation in the industry. Keywords: Financial Crime and Compliance Management, Rich Kelly, money laundering, Bank Security Act, FinCEN, annuities, FIO.

ISBN: 9798644902514Subjects--Topical Terms:

1557594
Banking.
Subjects--Index Terms:

Money-laundering

Navigating Today's Anti-money Laundering Terrain; With a Focus on Annuities.
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520 $a Annuities are considered a high-risk product due to possibility of using them as a vehicle for money laundering. Money laundering is a serious crime and organizations that deal in high-risk products such as annuities are expected to have an anti-money laundering program in place in order to curtail any illicit transfer of funds. The anti-money laundering program follows guidelines set up by regulatory organizations that implement industry standards as a framework for handling these matters. It is well-known in today's regulatory environment that organizations that fail to meet the standards laid out by regulators risk civil and criminal charges-both as an organization and as individuals. There is a strong need for organizations to recognize and be compliant with rules set forth by governing agencies. Failure to do so leads to may lead to significant financial sanctions against businesses. This is more likely with the trend of not only businesses but individuals as well being charged civilly and criminally for gaps in compliance and willful negligence. There appears to be a significant lack of research for money laundering as it relates to annuities specifically. This may be a result of an industry more focused on primary banking activities. It will likely prove beneficial if organizations focus on sharing information with each other. Additionally, should businesses and academia collaborate on AML trends it may also lead to success and innovation in the industry. Keywords: Financial Crime and Compliance Management, Rich Kelly, money laundering, Bank Security Act, FinCEN, annuities, FIO.
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