|
|
|
|
|
|
|
|
 Compliance
RIA Financial Services (RIA) Compliance Department Mission Statement:
To establish and implement risk-based policies, procedures, and processes to comply the with the laws of the United States and those of the jurisdictions in which we operate, as well as, safeguard RIA�’s operations from money laundering and terrorist financing. RIA’s Compliance Department strives to be considered a best-in-class global Anti-Money Laundering and Anti-Terrorist Financing Compliance Department.
Anti Money Laundering (AML) and Anti-Terrorist Financing (ATF) Compliance
RIA is committed to detecting and preventing money laundering and terrorist financing. Consequently, enhanced due diligence is performed on all Agents and Correspondents before Appointment. All remittances processed by RIA are screened with enhanced controls to prevent money laundering and terrorist financing. It is RIA’s policy to follow both the letter and spirit of the law and regulations. Our policies and procedures comply with laws of the United States and those of the jurisdictions in which we operate. RIA also complies with the Office of Foreign Asset Control (“OFAC”) and adheres to all European Union and United Nations sanctions.
RIA’s Compliance Department is dedicated to providing support and ongoing guidance regarding AML and ATF, as well as, our own policies and procedures. If you have any comments, questions, or require guidance or support please contact us at compliance@riafinancial.com or call 01-562-345-2119. |
|
| |
|
|
