• Lauri Giesen
    Lauri Giesen Mar 15, 2018

    Fiduciary limbo: The struggle to get in step with the government’s new wealth management rule

    It’s common sense to honor a client’s best interests. But how to do that remains foggy as the White House reviews—and could rewrite—a new retirement planning rule.

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  • Compliance Challenge of Consumer Complaints

    Jenni Palocsik Apr 30, 2014

    In today’s hyper-regulated environment, banks need to track, analyze and act upon consumer complaints quickly.

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  • Heading Off Complaints at the Database

    Steven J. Ramirez Apr 23, 2014

    By analyzing the Consumer Financial Protection Bureau’s database of consumer complaints, banks can head off violations (and fines) in their own organizations.

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  • Compliance Learning Curve for Directors

    Karen Crumbley Apr 14, 2014

    Heightened regulatory scrutiny means that financial institutions should keep their board members up to date on issues involving social media, cyber security and mobile devices.

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  • Reducing the ALLL Reserve for Thrifts

    Ed Bayer Jan 29, 2014

    Thrift institutions once regulated by the OTS are struggling with reserve allocations under the OCC.

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  • What the Examiners are Examining

    Mary Ellen Biery Aug 27, 2013

    In the most recent round of examinations, regulators are focusing on asset quality, particularly in the area of commercial real estate.

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  • Winners Win, Even at Compliance

    Bob Hughes Feb 19, 2013

    Rather than decrying increased regulation, bankers can embrace the new reality and turn their compliance operation into a competitive advantage.

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  • New Pitfalls in Consumer Disclosures and Marketing

    Robert Stowe England
    Robert Stowe England Feb 11, 2013

    With its enforcement of regulations governing ‘unfair, deceptive and abusive acts and practices,’ the Consumer Financial Protection Bureau raises the compliance bar for new product design and marketing.

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