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Compliance Action, Volume 14, Number 4

March 27, 2009

Managing Compliance: Looking for Efficiencies (5 Action Steps)

By Lucy Griffin

Combining policies where multiple laws and regulations have similar purposes is beneficial and more efficient.

Suspicious Activity Reports: To Share or Not to Share? (4 Action Steps)

By Lucy Griffin

Disclosure of the existence of a SAR can cost the institution the protection of the safe harbor. FinCEN proposes clarification on the information sharing guidelines.

Action Training
Interagency Guidelines: Establishing Information Security Standards (Chart)

By Lucy Griffin

Informating Sharing, CIP and Red Flags go hand in hand. Putting them together into one program is the trick.

Compliance Notes

Compliance Calendar

In the Editor's Opinion
What Good is Compliance?

By Lucy Griffin

What goes around comes around. A successful compliance progam results in customer satisfaction which is in turn good for the organization.

Compliance Q & A

Executive Editor:
Lucy H. Griffin, Esq.
Board of Advisors:
Patti Blenden
John S. Byrne, Esq.
David Battle
Robert P. Chamness
David Dickinson
Phillips G. Gay, Jr.
Barbara Hurst
Robert G. Rowe, III, Esq.
Michael D. Maher
Andy Zavoina

Compliance Action

Bankers' Hotline

Compliance Action