Features
Volume 31, No. 3
contentS
8;Ethics and Compliance:
Now Is the Time to Take Action
By Jeanine Catalano
This article examines regulatory requirements and guidance regarding
establishing a code of conduct or an ethics policy; distinguishes between
compliance risk and complying with laws and regulations; and offers suggestions
for creating a code of conduct or ethics policy.
16 Social Media Revolution:
Not Just Compliance Concerns
By Carl G. Pry, CrCM
Many banks are struggling with whether to join the social media
revolution or wait it out, for a variety of reasons. Maybe, the thinking goes,
we’ll wait until it’s more established and we can see what others are doing
and learn from their mistakes. But that time might already have passed.
26 Fair Lending Data Analytics in Plain English
By MiChael J. Brauneis, sCott t. teMBy,
and Joe WoJkoWski, Ph.d.
Although this article cannot offer a silver-bullet solution for the daunting
challenges compliance officers face, it will examine some practical, “plain
English” thoughts to address an area that epitomizes the perfect storm of
cahllenages: maintaining an effective fair lending program.
DePartMeNts
compliance Management
By Carl G. Pry, CrCM
4
governance
By Paul r. osBorne, CPa, CPo, aMlP,
and taPan shah, PMP
6
the other Side
By stu lehr, CrCM
36
regulatory development table
resources
continuing education Quiz
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40
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