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Financial Institutions › Risk Management › Compliance Management Systems

Troutman Pepper Locke

Enhancing Card Partnerships and Compliance: A Conversation With Matthew Goldman — Payments Pros – The Payments Law Podcast

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In this episode of Payments Pros, Carlin McCrory is joined by Matthew Goldman, founder of Totavi, LLC and publisher of CardsFTW, to discuss operational compliance for card issuers. Their conversation highlights essential...more

GeoDataVision

Importance of Compliance Management in times of transition

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Dean and Len highlight why strong, proactive compliance management is crucial for financial institutions facing regulatory change and emerging risks....more

Hogan Lovells

The Financial Gatekeepers: The new role of financial institutions in upholding financial sanctions

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The long-awaited EU anti-money laundering ("AML") Package came into force in July 2024 and will begin to apply directly to firms in scope ("obliged entities") from 10 July 2027. Regulation (EU) 2024/1624 (the “AML...more

Husch Blackwell LLP

Deadline Ahead: NYDFS Compliance Notifications are due by April 15

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Businesses that are subject to the NYDFS Cybersecurity Regulations have four weeks left to submit their annual notices of compliance or acknowledge their noncompliance. When the regulations were amended in 2023, several of...more

Ankura

Quality Control Unveiled: Insights from Transaction Monitoring

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Ensuring high-quality standards in any organization is an essential ingredient that must be rooted within a company’s Quality Management Program (QMP) – a program that creates a framework to ensure quality....more

Cadwalader, Wickersham & Taft LLP

OCC Issues Its Semiannual Risk Perspective

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The Office of the Comptroller of the Currency (“OCC”) issued its Semiannual Risk Perspective for Spring 2022 on June 23. This was the same day the Federal Reserve released the results of its stress test for large bank holding...more

K2 Integrity

Using Sanctions Screening and List Management to Support a Stable Sanctions Compliance Framework

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A robust sanctions compliance program is a key part of financial crimes compliance programs for financial institutions as well as businesses engaged in global commerce. Failure to establish or effectively implement such a...more

Burr & Forman

FINRA Warns on Compliance Phishing

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On March 4, FINRA issued a Regulatory Notice warning member firms not to fall for phishing scam preying on compliance fears.  The scam uses a phony email address, supports@finra-online.com, demanding an immediate response to...more

Mitratech Holdings, Inc

OCC Steps Up Scrutiny of EUCs at Financial Institutions

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EUCs – End User Computing applications – have hit the headlines again, after the US Office of the Comptroller of the Currency (OCC) levied a $400 million fine on an American-based bank. It found issues in the institution’s...more

Foodman CPAs & Advisors

Who are you partnering with for your Financial Institution’s BSA/AML Independent Testing?

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Financial Institutions ought to design and evaluate compliance programs to meet BSA/AML requirements and to satisfy Bank Examiner expectations. A Financial Institution’s Compliance Programs must comply with the requirements...more

Troutman Pepper Locke

Establishing an Effective Compliance Management System for Financial Services

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The CFPB has generated acute awareness of the term “compliance management system” (CMS) through its highly publicized consent orders. Since it began issuing orders in 2011, the CFPB has invariably cited “significant...more

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