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Compliance Management - Banking Exchange
A clean and honest sales program requires asking lots and lots of questions, assuming nothing. Common sense must also rule. "If less than half your employees can achieve their sales goals, that's a problem," says one expert. "You have to have realistic goals."

Keeping sales culture clean

Ask key questions now—or face worse questions from regulators and public later
Communication between banks and their supervisors ranks higher than ever, says a former Citi regulatory expert.

No time for regulatory silence

Regulatory relations are make-or-break today
Banks can learn a lot from complaints, but at the end of the day you also want unhappy customers to become satisfied customers.

Complaints management requires tough management

Customer experience hinges on getting problems fixed promptly—and right
Attitude may play a role in how well your bank scores in new federal compliance ratings, suggests consultant Pam Perdue.

What’s your “compliance mindset”?

Upgraded federal compliance ratings process requires fresh approach
The Bank for International Settlements has introduced a new wrinkle for the foreign exchange business—a code of conduct.

Conduct code comes to FX business

Signing code means abiding by set of ethical practices
Is climate change risk on your bank’s radar?

Is climate change risk on your bank’s radar?

International group finalizes voluntary measures banks can take
Did you ever own a Walkman? In the space of not very many years, technology in general and financial technology in particular have taken huge leaps. To set the context for a look at today's leading technologies and a risk-focused way of looking at the future, Wolters Kluwer's Tom Grundy takes you on a tech-oriented walk through recent decades.

Fintech rewind, listen, and fast forward

How tech evolution has brought banking and compliance to today’s crossroads
Technology and compliance aren't strangers by any means, but new forms inspired by fintech may lessen the need to keep adding compliance staff to keep up.

Regtech to the rescue?

Regtech Report: Look past the "wow," and see hope for compliance overload
Freed from the repetitive and mundane, compliance staff will be able to devote their time to higher-value tasks, say backers of regtech solutions.

What happens to all those compliance people?

Regtech Report: Why regtech won't put compliance people on the unemployment line
While some aspects of compliance don't lend themselves to complete automation, increasingly technology will be able to help with those tasks that only need human oversight.

What about “squishy” compliance?

Regtech Report: How regtech can tackle matters that aren't always completely quantifiable
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