Regulatory Reality:

OCC

1

November 18, 2011  12:22 PM

Why vendor management is a big GLBA deal.



Posted by: David Schneier
assessment, Audit, compliance, FDIC, Federal Reserve Bank, FRB, GLBA, NCUA, OCC, OTC, regulations, regulatory, Regulatory Compliance, risk, risk assessment, vendor, Vendor Management, vendor risk, vendor risk rating

I don't think I'm due to post about vendor management again at least until January 2012 (I try to limit topics to twice a year) but I've had something kicking around my head for a few days now and it needs a proper vetting. Does anyone know why vendor management is such a big issue for banking...

March 15, 2011  9:58 PM

Is your examiner a friend or foe?



Posted by: David Schneier
Audit, bank, banking, compliance, credit union, CU, exam, examiner, FDIC, GLBA, NCUA, OCC, oversight, regulations, regulatory, Regulatory Compliance

I was catching up on my industry emails the other day and buried in my FDIC email folder was Financial Institution Letter FIL-13-2011, sent out on March 1st. Truthfully I usually pay close attention to their Friday afternoon blasts regarding bank closings and only skim the rest. But this one...


May 21, 2010  1:55 PM

The new Senate finance bill: not what I hoped for



Posted by: David Schneier
Audit, compliance, FDIC, OCC, Regulatory Compliance, risk, risk assessment, risk assessments, SEC

I'm an optimist:  Ask anyone who knows me either personally or professionally and they'll agree.  And I've been eagerly anticipating new legislation ever since the banks spiraled out of control and needed government intervention to save themselves.  As my wife likes to tell people, when the...


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