Category: Hot Topics

  • 2012 Compliance Trends, Part 4 – Risk Assessments

    Information security, business continuity, vendor management, ID theft, RDC, Internet banking…it seems that every time you do anything these days you’re expected to perform a risk assessment. This is nothing new, risk assessments have been around since risk management began, but I think we’re going to see even more focus on them in the future. …

  • Top Topics for 2011

    With every one else doing their end-of-the-year top ten lists, I thought I might join in and see what topics were most popular with visitors to the Compliance Guru site in 2011.  There were a total of almost 24,000 page views, and here are the 5 most popular blog posts with view counts:   AICPA…

  • 2012 Compliance Trends, Part 3 – Management

    I’ve written about the importance of this before, and from many different angles, but I want to recap and explain why I think management (both IT and enterprise) will be an area of increased regulatory focus in the year ahead.  To recap my criteria for inclusion in the “2012 Trends” list, it must have a…

  • 2012 Compliance Trends, Part 2 – Vendor Management

    In my first post in this series I discussed training (employee and customer) as a good candidate for increased regulatory scrutiny in 2012.  Although these posts are in no particular order, I had initially intended to list “Management” as the next trend.  However a comment made to me by a banker at a recent conference…

  • 2012 Compliance Trends, Part 1 – Training

    This post will begin a series of 5 topics that I consider to be good candidates for increased regulatory scrutiny in the coming year.  For each topic, I will make the case for increased scrutiny based on 3 criteria: Recent audit and examination experience, Regulatory changes, and Recent events. In keeping with my policy of…

  • The “Security Breach” and your Incident Response Program

    Last week Wells Fargo said that some of their customers in South Carolina and Florida received portions of other customers’ bank statements in the mail as the result of a printer error.  Essentially a printer malfunction caused some printed statements to contain a portion of another customer’s statement to be appended to the bottom.  A…