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Money Laundering and AML Compliance

257 点作者 dduugg超过 2 年前

17 条评论

irusensei超过 2 年前
It is expensive to keep a crime and corruption department on your banking institution. If you are dealing with a millionaire who is related to some oil mogul in Russia you can do your due diligence and Vladimirovich can hire a team of accountants to prove that his business is legit and not at all related to the corporativist oligarchy his uncle runs. Or it might be, but the risk vs reward is good enough to turn a blind eye for now.<p>Ivan, immigrant from Belarus who drives a bus and likes to withdraw cash from his &lt;5000 euro account? Get this living liability out of my bank! I won&#x27;t run a whole department or risk getting fined because some no name pauper. But since we can&#x27;t just ban him let&#x27;s just ask for ridiculous documents like proving the nationality of his grandfather (real story btw) or criminal records, translated in English, by an official translator. Let&#x27;s annoy him so much with retarded requirements he will leave by himself and if he fails to provide our totally not arbitrary evidence we write a polite e-mail stating that we are sorry but we won&#x27;t run his account anymore.<p>That&#x27;s basically AML compliance to you.
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josephcsible超过 2 年前
&gt; At many institutions, one SAR is a non-event. Two, for a retail client, means one gets a letter saying the bank wishes you the best in your future endeavors and will not bank you anymore. That letter will often mention that this is a commercial decision of the bank and will not be reversed. Some clients receiving that letter will, on attempting to open account at a different bank, get refused because the first bank entered them into Chexsytems as “account closed at bank’s discretion” and the second bank, on reviewing that entry, said “yep, we are not touching this hot potato.”<p>&gt; Frustratingly, regulators will say “Well, that is the bank’s decision. We didn’t direct them to do that.”, even though the purpose and effect of AML regulations is causing a lot of behavior not specifically asked for. Banks will, meanwhile, say “Our hands are tied. Look at these enforcement actions. Clearly, this is an unacceptable level of risk.” And meanwhile, there is an <i>actual person</i> who has done <i>nothing wrong</i> and now finds themselves somewhere between greatly inconvenienced and frozen out of the financial system entirely.<p>Why is there so much opposition to &quot;you can&#x27;t have a bank account anymore because when you had one, one of your checks would bounce almost every week&quot;, but so little opposition to &quot;you can&#x27;t have a bank account anymore for something that doesn&#x27;t constitute proof of wrongdoing&quot;?
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wcunning超过 2 年前
The best thing I&#x27;ve read on this topic is from Matt Levine at Bloomberg, restated in his newsletter on Wednesday: &quot;In general, the chief compliance officer at any company has a dial in front of her that she can turn to get More Crime or Less Crime, and at a normal company — a bank, for instance — her job consists of (1) turning it most of the way toward Less Crime, but (2) not all the way, and (3) acting very contrite when politicians and regulators yell at her about the residual crime. “We have a zero-tolerance policy for crime,” she will say, and almost mean.&quot;
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exbanker超过 2 年前
The biggest money launderers are close to those who write the AML policies.<p>One of the most significant money launderers is a famous attorney from Shearman and Sterling in NYC.<p>From my experience, prominent financial executives attempted to engage in blatant laundering of drug money in BVI. These individuals were connected to the attorney and one is a public official appointed by 4 US Presidents.<p>This was 20+ years ago and I don’t know what they actually did, but I was in the room when they tried to do it. Outside the room hung a giant photo of George W. Bush golfing with the firm’s CEO.<p>They offered me $1 million in cash to fly with $100m at a time to Tortola. The financial structure was created by the attorney.
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coderintherye超过 2 年前
Excellent write-up.<p>Key point is, no one truly looks at the efficacy of AML which makes it more theatre than crime-fighting tool (not that it doesn&#x27;t fight crime, it just does not do so efficiently nor is it likely the best way to do so, let alone us defining broadly what crime actually is).<p>If these systems were re-designed from the ground up, AML procedures and policies would likely look quite different than they do today.
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JusticeJuice超过 2 年前
Excellent essay.<p>The 10k rule mentioned is totally a thing. I was at a company implementing AML for the first time, and the compliance team told us to add it, which I always thought was an inane. They came up with a variety of rules with just arbitrary figures in them, including the 10k rule. Didn&#x27;t matter if you had previously been transacting 7k regularly before jumping to 10k, didn&#x27;t take overall volume into account, didn&#x27;t look for unusually high acceleration of transactions. Just a magic number pulled out of industry precedents.<p>The interesting thing was if you read the actual legislative requirements it was excessively vague, like &quot;take reasonable steps to find suspicious transactions&quot;. Institutions don&#x27;t build software if they don&#x27;t have to. The goal always was to do the minimum to check the box, not actually find laundered money.
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jdblair超过 2 年前
If you are a US citizen and you have any kind of middle class life that crosses international boundaries, you quickly become familiar with many of these terms and processes.<p>Hold a balance in a foreign bank? File a FBAR (foreign bank account report). Move large sums of money? Be prepared to document the source of the funds. I&#x27;m now practiced at preparing bundles of PDFs that show a &quot;paper&quot; trail.<p>BTW, filing a FBAR requires you to report the maximum balance in an account, something that most definitely is not reported on a bank statement unless you hold the balance for more than a month. This is hardly ever the case in an active account.
EVa5I7bHFq9mnYK超过 2 年前
AML and KYC really took ground around 2001. The 9&#x2F;11 was the pretext, but the real reason was because there was now a technical possibility to electronically track all the transactions.<p>How we managed to live and fight crime without it for the previous millennia is a mystery.
psobot超过 2 年前
Every post from patio11 is such a joy to read: precise, exact, descriptive, and entertaining. I&#x27;d love to understand where his writing style comes from and how to emulate it.
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pjkundert超过 2 年前
<i>Governor Tarkin:</i><p><pre><code> Princess Leia, before your execution, you will join me at a ceremony that will make this battle station operational. No star system will dare oppose the Emperor now. </code></pre> <i>Princess Leia:</i><p><pre><code> The more you tighten your grip, Tarkin, the more star systems will slip through your fingers. </code></pre> Every government and central bank in the world is tightening their grip around the tiniest transactions of their citizenry. In the meantime, they are printing Trillions and shovelling it to their sycophantic corporate and political elite buddies.<p>And then, they wonder why people are being driven to use Cryptocurrency...<p>For those of you who are offended by this characterization; how does burdening 8 billion law-abiding Citizens with impossibly complex and arduous KYC&#x2F;AML requirements make sense -- when just <i>one</i> FTX incident exceeds the value of all legitimate remittance transactions on the planet for the entire year, and KYC&#x2F;AML doesn&#x27;t affect the likes of FTX, Tether, etc. in the least?<p>Perhaps you feel like you&#x27;re &quot;doing something&quot;. You are -- making every law-abiding free Citizen feel like a criminal and expend countless hours of life-energy, to do precisely <i>nothing</i> to solve the problem, while crippling the legitimate small business and personal enterprise of the entire planet.<p>Congratulations!
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szszrk超过 2 年前
A bit of a quick side story: A bank I worked for set up a lock for all business sites on their firewalls and WAF for any IP geolocalized as Russian. It just dropped or rejected all network packets completely. Individuals could still use their service, though.<p>It was like that since at least a decade ago, since original Russian attack on Ukraine and I have not heard of any issues they run into with that approach.<p>The just went &quot;no&quot;.
e28eta超过 2 年前
&gt; In part this is because some Americans in the financial industry will involve HR if you describe money as having a color other than green. There are, of course, many speakers of English for whom the history and current relevance of U.S. race relations do not pose strong concern relative to, for example, domestic public corruption<p>I’m disappointed this is the way patio11 chose to summarize why we’re reducing the usage&#x2F;connotations of “white = good; black = bad” in various contexts.
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nraynaud超过 2 年前
It’s crazy how we all live in easy Germany now. Governments keep files on everybody and when they decide to go after someone try to find a crime in one of those files.
andbeyond超过 2 年前
My issue with these laws is that they only seem to apply to individuals with little means and not to big corporations.<p>JP Morgan for instance, sends Swift transfers that are not AML compliant. They don&#x27;t give a toss and nobody will ever look into their practices.<p>But if you&#x27;re a small merchand on an e-commerce platform, you&#x27;ll get a horde of lawyers harrassing you with KYC.
nyanpasu64超过 2 年前
My hope is that someday people will be able to open bank accounts and transfer money online without revealing their deadname to the bank, having it shoved in their face in bank websites and emails and phone calls, and doxxed to everybody sending them payments for purchases, or even a $1 donation over Ko-Fi.
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yieldcrv超过 2 年前
Al Capone would have passed KYC
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datavirtue超过 2 年前
Nowhere these articles written by chatGPT? If an editor were involved the articles would be about a paragraph each or they they would have been put through the shredder.<p>I have been in the industry for years. The author said nothing enlightening or important.
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