Regulatory Compliance Program Guide

Recent regulatory developments have compliance officers nationwide very concerned about their jobs and the possible consequences of actions (or inactions) taken while employed for financial institutions.
Guide for effectively managing

Compliance program

A decision adopted from a federal district court and regulations from the New York State Department of Financial Services finalized on June 30, 2016 and effective January 1, 2017 provide even more reasons for compliance officers at financial institutions to install robust BSA compliance programs in order to avoid personal liability.
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