Category Archives: Compliance

BCFP Adopts Interium Regulation X Mortgage Servicing Rule On Consumer Debt Collection Opt Out Rights; Invites Comments By 11/15


The Bureau of Consumer Financial Protection (Bureau) is issuing an interim final rule amending a provision of the Regulation X mortgage servicing rules issued in 2016 relating to the timing for servicers to provide modified written early intervention notices to … Continue reading

Posted in Bankruptcy, Compliance, Fair Debt Collection Practices Act, Fair Debt Collections Act, Fraud, Internal Controls, Privacy | Leave a comment

Reconstruct Records After a Disaster


Are you trying to help your business or family clean up the mess and recover from a hurricane, flood, fire or other disaster? Reconstructing records to prove a loss for tax purposes, getting federal assistance, or insurance reimbursement often is … Continue reading

Posted in CEO, CFO, Compliance, Internal Controls, Risk Management, Tax, Uncategorized | Leave a comment

Hurricane Impacted Financial Institutions Tell FinCEN If BSA Reports Delayed


FINRA Reporting by Hurricane Impacted Financial Institutions
Continue reading

Posted in bank secrecy act, Bankruptcy, Board of Directors, CEO, CFO, Compliance, Director Liability, Internal Controls, Officers, Tax, Uncategorized | Tagged , , , , , , , , , , , , | Leave a comment

Use Lessons Of Past Mistakes or Injustice To Build Better Future


Moving beyond mistakes & injustice Continue reading

Posted in Board of Directors, CEO, CFO, Compliance, Director Liability, discrimination, Employment, Fiduciary Responsibility, Internal Controls, Labor Relations, Leadership, Officers Liability, Performance Management, Uncategorized, Workforce, Workforce Management | Leave a comment

Improving Education To Better Train US Workers To Fill US Jobs


What can the US do to better train and educate our workforce to have skills to fill US jobs? Continue reading

Posted in Board of Directors, CEO, CFO, Compliance, education, Employment, Internal Controls, Labor Relations, Risk Management, Uncategorized, Workforce | Tagged , , , | Leave a comment

Leadership Starts & Ends At The Top


Business leaders expecting better ethical, legal and operational compliance and leadership achieve their goals easier when leaders lead by example.   Recent media coverage of sexual harassment and other transgressions by senior management at Fox News, Uber, Enron and a … Continue reading

Posted in Board of Directors, CEO, CFO, Compliance, D&O, Director Liability, Director Liabiloity, Internal Controls, Leadership, Officers, Officers Liability, Performance Management, Risk Management, Workforce Management | Leave a comment

Take Your Preventive Medicine


Better planning and management can head off most but not all problems. Sometimes stuff happens even when you do everything right. Either way, better management usually minimizes the damage and makes it easier to clean up the mess. It’s never … Continue reading

Posted in Bankruptcy, Board of Directors, CEO, CFO, Compliance, Cyber, D&O, Data Security, Director Liability, E&O, Employee Benefits, Employment, ESOP, Fiduciary Responsibility, Fraud, Health Plans, Internal Controls, Labor Relations, Leadership, M&A, Officers, Officers Liability, Performance Management, Privacy, Reductions In Force, Reengineering, Retirement Plans, Risk Management, Shareholder Liability, Stock Plans, Tax, Teaming, Turnaround Management, Workforce Management | Tagged , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment