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Bank Director
2nd Quarter 2010
Jack Milligan |
Knee Deep in Regulation As part of the fallout from the latest financial crisis, bankers are wading through new layers of regulation while scanning for clearer skies ahead.   |
Bank Technology News
May 2007 |
The Six Regulatory Areas That Are Altering Bank Life Regulation is a part of bank life. Failure to comply shouldn't be. |
OCC Bulletin
September 8, 2000 |
Privacy Laws and Regulations This document is designed to assist national banks and their subsidiaries in complying with federal laws and regulations relating to the disclosure of consumer financial information... |
Bank Technology News
March 2006
Michael Grebb |
Cutting To the Chase New rules under the Home Mortgage Disclosure Act require lenders to collect and reveal data on a loan applicant's race, sex and income. Institutions must also share how they determine rate spreads for different applicants. |
Bank Director
4th Quarter 2009
William M. Aukamp |
Some Thoughts on Regulatory Reform Before creating a new agency, Congress should be mindful of the already-heavy compliance burden born by banks. |
U.S. Banker
November 2007
Patrick Conte |
Embrace This Acronym: IT GRC. It Could Save Banks a Bundle. Used to describe the interdependent disciplines of governance, risk and compliance, GRC refers to the people, processes and technology banks invest in to comply with regulations and manage risk as part of effective corporate governance. |
Bank Technology News
February 2009
Brian Longe |
Customer Satisfaction Begins with a Single Compliance Solution Using a single technology platform to handle all of its compliance needs allows a bank to open new accounts and complete transactions more quickly through the solution's common database structure. |
U.S. Banker
March 2007
Paresh Amin |
Balancing Industry Mandates and Federal Regulations Financial companies need to consider compliance, business objectives and data security in a holistic manner. All three can be boiled down to one main requirement: determining what is happening to critical data. |
Bank Technology News
February 2011
John Adams |
Mortgage Reboot: Rolling Thunder Looking to protect borrowers and score political points with consumers worried about foreclosures and underwater loans, Congress and regulators are unleashing an almost-constant barrage of new mortgage laws and regulations. |
Bank Technology News
May 1, 2008
Michael Grebb |
The War to Keep Compliance Talent Financial institutions wade through an ever-deepening regulatory swamp, and therefore an escalating war for compliance talent. |
Bank Technology News
April 2006
Michael Sisk |
Compliance: The New Rule Book Is Still Like A Maze There are so many new regulations that banks are having difficulty organizing their corporate structure to ensure these new rules are being adequately followed. |
Bank Technology News
October 2008
Kyle Duckers |
Strategic GRC Yields Clear Payback Can a financial institution's governance, risk and compliance effort be a strategic tool, or is it simply a cost of doing business? Can best practices actually improve shareholder value? These are important questions that some financial services executives continue to ponder. |
Bank Systems & Technology
February 29, 2008
Deena Amato McCoy |
U.K.'s FSA Considering Tougher Bank Regulation U.K. regulators are weighing changes that could require banks to deploy reporting technologies that will keep regulators abreast of problems in a more timely manner. |
OCC Bulletin
February 28, 2001 |
Bank-Provided Account Aggregation Services This bulletin discusses the risks of bank-provided account aggregation services, and suggests control mechanisms banks should consider when they offer aggregation services. |
Insurance & Technology
June 16, 2004
Julie Gallagher |
Look On the Bright Side Rather than letting the clouds of regulation rain on their operations, insurers that look for compliance's silver lining have an opportunity to improve their business processes. |
Bank Technology News
January 2006 |
Better Info Security Driven By Regulatory Compliance If information security is to become a strategic priority, then banks can start by reviewing existing practices -- their own and that of those companies with which they do business. |
Bank Systems & Technology
February 22, 2007
Nancy Feig |
A Happy Marriage: Finding the Right Technology Mate for Compliance Programs Banks are turning to GRC software platforms to maximize compliance technology's effectiveness and gain greater return on investment. |
Bank Director
4th Quarter 2010
Mark D. Kotwick |
Foreign Privacy Laws and the Cross Border Transfer of Information In an increasingly global financial world, it's helpful to have some basic knowledge about the rules and regs regarding international privacy law. |
Bank Technology News
November 2001
David Rountree |
Taking Care of Customer Data A privacy breach in the banking industry may carry ominous legal ramifications, but they pale in comparison to the effects of a blown reputation... |
Bank Systems & Technology
June 14, 2010
Matt Gunn |
FIS to Acquire Compliance Coach Banking and payment technology provider FIS announced Monday it will acquire Compliance Coach, Inc., a company that provides risk assessment software, e-learning and additional tools to enable compliance with applicable laws and regulations. |
Bank Technology News
January 2007 |
Leveraging Compliance: Following the Rules Can Really Pay Off Regulation is leading financial institutions to focus more keenly on compliance software. But the technology can also be useful in corporate pursuits like marketing and financial planning. |
Bank Systems & Technology
February 22, 2007
Maria Bruno-Britz |
Spillenkothen Joins Deloitte's Banking Regulatory Practice The former Fed regulator hopes to help banks gain an enterprise-wide view of compliance in his new role. |
Bank Systems & Technology
June 18, 2009
Maria Bruno-Britz |
The Financial Industry Reacts to Obama Regulatory Proposal Although most agree with the general principles outlined in the President's financial reform plan, they find several sticking points -- and IT won't be immune. |
Bank Technology News
March 2002
Jan Jaben Eilon |
A Stronger Line of Defense Expanded regulations have accompanied efforts to halt funding for terrorist groups, and financial institutions face challenges in a changing sea of red tape... |
Insurance & Technology
August 12, 2005
Peggy Bresnick Kendler |
The Compliance Challenge Industry experts offer opinions on what the biggest challenges carriers currently face in terms of regulatory compliance. |
Insurance & Technology
May 28, 2008
Nathan Conz |
Insurers Taking More Unified Approach to Compliance Compliance is becoming the key component of core systems -- especially within the insurance industry. It means complying with state-to-state insurance regulations; but it also means establishing an anti-money laundering program. |
Bank Systems & Technology
July 5, 2004
Cynthia Ramsaran |
Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance. |
Bio-IT World
January 12, 2004
Steve Lefar |
Systematize Your Regulatory Info! Want better protection against regulation breaches? Build a system that engenders 'grassroots' compliance. |
Bio-IT World
February 11, 2005
Judy Hanover |
Leveraging IT to Achieve Compliance Budgeting and measuring the success of compliance initiatives is a credibility issue for CIOs. |
Bank Systems & Technology
June 24, 2008
Stephen G. Sargent |
Automation Allows Banks to Better Navigate Compliance and Risk Management Technology can provide automated reporting functions to help bank managers access data and ensure they remain compliant. |
Bank Systems & Technology
June 1, 2005
Phil Britt |
Missed Opportunity Though Sarbanes-Oxley, Basel II and revisions in state and federal banking laws continue to increase the time and cost commitment banks must make for compliance, there are ways to mitigate the burdens of regulatory requirements and even improve operations. |
Wall Street & Technology
November 21, 2006
Cory Levine |
Inefficient Efforts: Firms Look to Break Down Their Isolated Compliance Processes Industry solution providers are coming up with new ways to unify compliance efforts across the organization, bringing efficiencies and benefits to the business from widely maligned regulatory mandates. |
Wall Street & Technology
February 23, 2008
Cory Levine |
Compliance Costs Grow Faster Than Net Income According to New York-based Deloitte & Touche's Deloitte Center for Banking Solutions, compliance costs are eating up more and more of firms' net income, due to applying human resources to monitor regulations. |
OCC Bulletin
October 1, 2001 |
Uniform Standards for the Electronic Delivery of Disclosures; Regulations M, Z, B, E, and DD The Board has lifted the mandatory compliance date for these rules. National banks may continue to provide electronic disclosures under their existing policies and practices, or may follow the interim rules, until the Board issues permanent rules... |
HRO Today
Mar/Apr 2008
Kerry Ann Vales |
Compliance Outsourcing Gaining New Ground in HRO Contracts In a world of changing regulations, employers are increasingly looking to service providers to help ensure they meet all applicable mandates. Expect more contracts, especially mid-market ones, to tack on compliance as part of the service delivery. |
OCC Bulletin
April 12, 2005 |
Community Reinvestment Act A joint interim rule for the Community Reinvestment Act (CRA) regulations has been adopted in final form, without change. |
Bank Systems & Technology
June 21, 2010
Penny Crosman |
Will Regulatory Turmoil Be the Death of IT Innovation? Washington has taken a strong stand on financial reform, and bankers say they understand that. But already-burdened technology organizations will have a hard time keeping up with the flood of changing requirements. |
U.S. Banker
May 2010
Rob Garver |
No Regulatory Relief in Sight Five new rules have taken effect since Jan. 1 and at least eight more are on the way. The onslaught is posing immense challenges for banks trying to keep up. |
| Knowledge@Wharton |
Have Banks, After 25 Years, Made Peace with the Community Reinvestment Act? History and enforcement of the CRA, and how it can be improved. |
Bank Director
3rd Quarter 2010
William M. Aukamp |
Should Your Bank Have a Lawyer on Staff? Understanding the roles of the counsel and the compliance officer can ensure your bank has all bases covered. |
OCC Bulletin
January 24, 2007 |
Home Mortgage Disclosure Act Higher exemption threshold for depository institutions under Regulation C. |
OCC Bulletin
July 22, 2002 |
Prohibition Against Interstate Deposit Production The Federal Reserve Board, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation recently issued updated host-state loan-to- deposit ratios that the banking agencies will use to determine compliance with section 109 of the Interstate Act. |
Insurance & Technology
May 18, 2004
Julie Gallagher |
IT Isn't Tapped for Compliance The insurance industry fails to embrace the full business value of IT when it comes to addressing regulatory requirements and instead relies primarily on manual processes and ad hoc measures |
OCC Bulletin
August 24, 2005 |
Community Reinvestment Act The revisions to the Community Reinvestment Act regulations, effective September 1, 2005, include a new test -- the community development test -- for intermediate small banks. |
Bank Technology News
October 2009
John Adams |
IT Cleanup in the Home Equity Aisle Two risky strategies of the past -- high-cost home equity loans made without tax and insurance escrow accounts, and the use of tech platforms siloed between different types of real estate lending -- are coming back to bite mortgage lenders via tough new regulations. |
OCC Bulletin
June 28, 2001 |
Prohibition Against Interstate Deposit Production The Federal Reserve Board, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation recently issued updated host state loan-to-deposit ratios that the banking agencies will use to determine compliance... |
OCC Bulletin
December 14, 2005 |
Small Entity Compliance Guide This compliance guide summarizes the obligations of financial institutions to protect customer information and illustrates how certain provisions of the Security Guidelines apply to specific situations. |
Bank Systems & Technology
October 1, 2007
Peggy Bresnick Kendler |
Banks Are the First Line of Defense Against Money Laundering Databases and modeling tools are among the systems helping banks analyze the data required to understand customers, monitor millions of transactions and identify suspicious behavior. |
Bank Technology News
March 2003
Michael Grebb |
Banks dig in along the war's new front line in a high-stakes bid to stop money laundering Renewed federal efforts to stop money laundering and terrorist financing have strapped the banking industry with potentially more paperwork, obligations and record-keeping burdens than at perhaps any time in its history. |
Insurance & Technology
August 10, 2006
Maria Woehr |
Compliance Automation Responding to growing pressure on insurers to comply with federal regulations such as Sarbanes-Oxley, the Gramm-Leach-Bliley Act, the Federal Information Act and HIPAA, ControlPath launched ControlPath Compliance Suite 3.0. |
