EU-US Privacy Shield: Is your privacy policy easily available to customers and potential customers?

You may selectively share customer information, including names and mailing addresses, with reputable third parties and organizations whose products and services you think may interest you if the customer information is independently obtained by you (that is, if the information is received from sources other than your financial institution), if Read more…

Chief Compliance Officer: What has been the turnover rate for compliance and relevant control function personnel?

Once compliance moves, the chief compliance officer will naturally realign with the chief risk officer, the officer to whom the chief compliance officer now reports, akin could include the chief risk officer, chief compliance officer, chief ethics officer, chief legal officer and human resources executive. In the first place, require Read more…