On the latest episode of the Smart Compliance Podcast, National Auto Finance Association’s Jack Tracey chats with us about the single most important thing finance companies need to be on top of right now. Listen in… More of a reader than a listener? Here are some notable highlights: Timestamp:0:50 A caution though I think to […]
Curious what is on the horizon in the second year of the Trump administration? Compliance and regulatory requirements are ever-changing, possibly now more than ever. What does it all mean for your business? Join us to hear from Hudson Cook, NAF, and Compli on what you could expect in 2018 and what to do about […]
It’s audit season here on the Compli blog. Earlier this month, we explored 5 key questions for internal audits, and before that, we explained what the Consumer Financial Protection Bureau is looking for in an organization’s audit program. Oh, and we also squeezed in a question about audit reporting and consumer finance laws.
This week’s question ponders how to balance audit reporting with staying in compliance with consumer finance laws. Q: In connection with audit reporting, should we include operational risk elements and/or process inefficiencies that could lead to noncompliance with consumer financial laws?
Can you remember the last time you conducted an audit of your organization’s workforce compliance program? If you can’t remember, or if you’ve never gone through an audit, your financial services company could be in serious trouble.
We do quite a few webinars here at Compli. Although every webinar focuses on a different topic, each follows a similar format: introduction, speaker presentation, attendee Q&A. We like to start by polling the audience, and our most recent webinar, Internal Audit Insider Tips, was no different.