0      0

THU03 - Recent Enforcement Actions: Lessons Learned on Culture of Compliance and Governance

‐ Oct 4, 2018 10:05am

• Analyzing Federal Reserve and OCC actions to detail new paradigms for management governance, board independence and managing risks of sales performance pressures
• Reviewing FinCEN penalties to identify regulatory risks of weak AML funding, lax oversight of high-risk clients and compromising oversight actions such as “alert capping”
• Scrutinizing cases including liquidation of ABLV Bank of Latvia for lessons learned on impeding examinations, obstructing regulators and the need for rigorous oversight of correspondent banking and geopolitical risks



You must be logged in and own this session in order to post comments.