Christine Thomas

As the bank’s chief compliance officer, if you are worried about CTRs, SARs, the FCPA form to be signed by the CFO, the FATCA report that has to be submitted, the new employees that need to be on boarded from a compliance perspectiv...

What ??? In these days of increased scrutiny, skyrocketing fines and changing regulations, you advise me to …… Precisely – the less you have to think about regulations and compliance, the more productive you are.  What you n...

A job safety analysis (JSA) is a procedure which helps integrate accepted safety and health principles and practices into a particular task or job operation. In a JSA, each basic step of the job is to identify potential hazards and to...

An interesting article was posted several weeks ago about the development of technological advances to address the next generation of risk and regulatory compliance challenges. While others are busy developing solutions to meet these ...

For failing to report approximately 3.5M transactions, plus an additional 121, 387 transactions from 2007-2014, a high-level investment management group was fined by the Financial Conduct Authority upwards of $20M in 2015. The group ...

Settlement cases amounting to over $500,000 for violations of the Bank Secrecy Act should serve as a reminder that anti-money laundering woes plague banks of all sizes. Hefty penalties for sanctions violations linked to illegal transa...

As people transform their lives, organizations are transforming the way they do business largely in answer to the ever-changing regulatory landscape. Rapidly changing business trends and increasing regulatory demands are calling fo...

In the fall of 2013, regulations governing Phase I Environmental Site Assessments (ESA) were amended to include a requirement to conduct a vapor screen. This significant regulatory development should have prompted real estate owners t...

Is your compliance team able to stay up-to-date and compliant with regulatory change? As a compliance or risk officer, do you have the capabilities to effectively manage the risks associated with regulatory change? If you hesitated...

With next year's planning cycle looming ahead, risk and strategy are big buzz words this time of year, and for good reason. Today's business environment demands agility from organizations to be successful. It's agility that allows ...