Lauri Giesen
Jul 15, 2020

Better tech and burden sharing can help relieve pressure and ease turnover.

Should a financial institution be held fully responsible for unknowingly supporting terrorist financing when their compliance program is up to date? The answer to this question, which was posted on a LinkedIn anti-money laundering blog, would seem obvious: a robust, proactive compliance program should serve as a shield against civil or criminal enforcement actions.

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Banking and financial services organizations are built upon complex business rules that regulate many day-to-day interactions, from lending decisions to detecting fraudulent activity.

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When you’re in a highly regulated industry like banking, you’re no stranger to the sometimes overwhelming compliance requirements at the national, regional and state levels that apply to your customer interactions.

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Throughout the past two years, the Consumer Financial Protection Bureau (CFPB) has actively collected customer complaints and stored them in a publicly available database in an effort to provide increased transparency for consumers.

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The involvement of bank directors with information security awareness training has been a long-standing cornerstone for building an effective information security program.

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The Office of Thrift Supervision (OTS) may be long gone, but the institutions that it once regulated are still around and dealing with some of its legacy issues.

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Banks, thrifts and credit unions are always wondering what regulators will focus on during their next safety and soundness exam.

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During the 1970s, U.

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Banks developing new products and services need to pay as much attention to how they plan to describe and market the offerings as to their actual design.

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Just two days after the election I will be attending a lunch at which former senator Christopher Dodd, best known as the co-author of the famous (or infamous) Dodd-Frank law will speak to a business group.

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