Neterium SRL


Seven minutes to learn something new about FCC


07 - Financial Crime Compliance issues in the Securities industry

In this episode, which is all about FCC in the securities industry, we listen to a conversation between Neterium’s CEO Luc Meurant and Jim Freis.

Jim has an enormous experience in FCC, as a former head of FINCEN, the Financial Intelligence Unit of the US, and then later as chief compliance officer for Deutsche Börse Group in Germany.

Jim brings a unique perspective on financial crime compliance. He combines experiences from public and private sectors, has been working for incumbent and disrupter companies, and has been operating both in the US and in Europe.

In their chat, Luc and Jim explore the many facets of FCC in the securities domain, from how screening and monitoring securities transactions is different from payments, to how regulations may evolve, and how the emergence of crypto could influence the industry’s future.

To kick off the conversation, they start by looking at how securities are different from payments, and how the complexity of securities transactions makes it harder to define effective financial crime policies.

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