Regulatory Compliance
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I’m SARy, so SARy

It’s no secret that those all-important Suspicious Activity Reports so fondly known as SARs, are critical to the government and law enforcement. They help catch bad guys and we all understand how valuable the information...

Website Accessibility: Risks, But No Rules

In compliance, sometimes things are black and white (for example, the requirement to provide an adverse action notice within 30 days is found in 1002.9(a)(1)(i)). Other times they’re grey. And the grey areas can...

FREE Webinar: Common Marketing Violations

Hopefully the word “Free” got your attention in the title of today’s blog. That’s marketing right? Well, did you know that the word free cannot be used to describe a deposit account if any maintenance...

Compliance Tapas

For the uninitiated, tapas are a variety of appetizers or snacks in Spanish cuisine. They are sometimes cold (like mixed olives and cheese), or hot (such as battered fried squid). The idea is to...

Without Buy-in, Compliance Efforts Slow

I’ve had the personal experience of building a compliance program from the ground up, and I know it can be a daunting, sometimes nerve-wracking task. Progress is continuous, but slow. Interruptions occur, and set-backs...