2018-02-14 20:52
For many thousands of workers in the United States, the end of the week renews a weekly ritual; payday. For those workers who are expatriates, payday renews another ritual, the trip to… Read More
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2018-02-06 20:21
Community banks and credit unions have been a key part of the American economy since its beginning. These are the lending institutions that make loans to small sole proprietors, first… Read More
2017-07-25 21:59
As the dust settled from the financial meltdown of 2008 there were a large number of new significant regulations to consider. The qualified mortgage rules, mortgage servicing rules and appr… Read More
2017-06-26 20:17
Note: The following is an update of a blog that we originally posted in November of 2015. In light of recent implementation of the new Uniform Interagency Consumer Compliance… Read More
2017-06-20 23:30
SAN FRANCISCO, CA (June 7, 2017) — Western Independent Bankers (WIB), the premier trade association for more than 22,000 members and 140 community banks, announced today that Virtual C… Read More
2017-05-20 02:48
In the first two parts of this series we talked about the reason we have so many far-reaching regulations in compliance. The pattern these regulations follow is the same. Bad behavior by a… Read More
2017-03-16 18:01
In the popular HBO series “Game of Thrones” one phrase that is repeated often is “Winter is Coming”. While the true meaning of that phrase will on… Read More
2017-03-16 17:57
Re-Imagining Compliance- A Three-Part series
Part One – Compliance is here to Stay
Every culture has its own languages and code words. Benign words in one culture can be offensive i… Read More
2017-03-16 17:53
For many financial institutions as January ends, the implementation phase of plans begins. As you put the finishing touches on your plans and give it one last look, among the critical thi… Read More
2017-03-16 17:49
There are many reasons financial intuitions suffer through periods of poor compliance performance. The causes for these problems are myriad. One of the key contributors to compliance woes… Read More
2017-03-16 17:46
As you prepare your annual audit schedule, a task that can often seem mundane, there are significant opportunities to take charge and “change the game”. The schedul… Read More
2017-01-11 19:04
2017 is here! Now is the time for new resolutions, renewed plans for success and… if you’re in compliance, now is the time for new compliance risk assessments. As we have discu… Read More
2016-12-28 23:41
For those of you who have experienced a BSA examination or audit, you know one of the first things you are asked for is your BSA/OFAC risk assessment. It has also likely been your ex… Read More
2016-12-14 01:28
As the year comes to close, for most people, it is time to celebrate with family and friends and to look forward to the new year with anticipation. For risk and compliance officers at… Read More
2016-12-14 01:21
In April of 2016, the FFIEC released proposed new guidelines for rating compliance programs at financial institutions. These guidelines have since been adopted and will commence i… Read More
2016-12-14 01:14
There are lessons for All Financial Institutions in the Wells Fargo Case
Part Three- Turning Our Eyes to a Glaring Need
We have talked about the Wells Fargo case involved violations of Unfai… Read More
2016-10-06 22:04
Part Two: Management’s role in avoiding UDAAP violations
In the first part of this series we talked about the three prongs of the Unfair Deceptive Abusive Acts or Practices Act… Read More
2016-09-27 20:47
A Three Part Series- Part One- Understanding the Power of UDAAP
The recent news about a huge fine levied against Wells Fargo financial institution presents a cautionary tale for all financia… Read More
2016-09-20 21:08
In the first part of this series we described the new beneficial ownership rule. We talked about the reasons that the rule was passed and we noted that the central idea of this rule is makin… Read More
2016-09-06 21:04
Part One – What is the rule and What Does it mean to Me?
On May 11, 2016, the Financial Crimes Enforcement Network (FinCEN) announced its final rule strengthening the due diligence req… Read More
2016-08-31 20:32
When reviewing the overall effectiveness of your fair lending program, one of the areas that can often be overlooked is the area of potential discouragement. This area requires a great deal… Read More
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