Kathlyn L. Farrell to Moderate Discussion at ABA RCC 2017
Date: Monday, June 12, 2017
Time: 10:30 - 11:45 AM
Location: Walt Disney World Dolphin Hotel, Orlando, FL
Topic: Sales Culture Compliance: Monitoring and Controls
With regulatory scrutiny of employee misconduct and fraud at an all-time high, banks of all asset categories can benefit from a reassessment of their internal processes to assess, monitor, mitigate and report these risks. We'll walk through current regulatory hot buttons (such as sales practices and incentive compensation design), offer suggestions for practices that may need a second look, and share ideas for strengthening key components of your CMS program.