Contributor : msullivan
Regulators Focus on Sales Practices: Responding to Heightened Scrutiny
Now is the time for bank boards and management to assess exposure and take steps to strengthen practices.
Getting Started With Third-Party Risk Management: Two Key Questions
A thoughtful approach based on an initial assessment of the bank’s current state can result in better risk management and compliance that aren’t overly burdensome.
The Internal Auditor’s Role in Regulatory Compliance
Michele Sullivan, partner at Crowe Horwath, outlines the role of a bank's internal audit department and how to ensure an effective compliance management program.