Christine Thomas

The sudden shift to working from home has challenged management throughout many industries, including banking and financial services. A primary concern is that employees used to collaborating face-to-face throughout the wo...

When it comes to compliance, there is no such thing as too many precautionary measures. Even the smallest compliance failures can turn into huge headaches for the organization; punitive damages and reputational loss are only the begin...

Our financial industry has been plagued with financial crimes like phishing, fraud, critical data leakage, security lapses and anti-money laundering experiences. Cyber security has become an extremely important challenge for the banks...

As the bank’s chief compliance officer, if you are worried about CTRs, SARs, the FCPA form to be signed by the CFO, the FATCA report that has to be submitted, the new employees that need to be on boarded from a compliance perspectiv...

What ??? In these days of increased scrutiny, skyrocketing fines and changing regulations, you advise me to …… Precisely – the less you have to think about regulations and compliance, the more productive you are.  What you n...

A job safety analysis (JSA) is a procedure which helps integrate accepted safety and health principles and practices into a particular task or job operation. In a JSA, each basic step of the job is to identify potential hazards and to...

An interesting article was posted several weeks ago about the development of technological advances to address the next generation of risk and regulatory compliance challenges. While others are busy developing solutions to meet these ...

For failing to report approximately 3.5M transactions, plus an additional 121, 387 transactions from 2007-2014, a high-level investment management group was fined by the Financial Conduct Authority upwards of $20M in 2015. The group ...

Settlement cases amounting to over $500,000 for violations of the Bank Secrecy Act should serve as a reminder that anti-money laundering woes plague banks of all sizes. Hefty penalties for sanctions violations linked to illegal transa...

As people transform their lives, organizations are transforming the way they do business largely in answer to the ever-changing regulatory landscape. Rapidly changing business trends and increasing regulatory demands are calling fo...