Our compliance department requires underwriting to provide company revenues for CRA purposes on each business loan request. The question that came up in our management meeting: what are other banks reporting to their compliance department ...
Hi Karen! We include 4 Risk Culture questions within our Annual Employee Engagement Survey. We do some post-mortems, but I would be interested in learning more about any formal "Lessons Learned" programs! Our code of Conduct & Ethics includes ...
Like others, we have both a COI Standard and an Outside Activities Standard that support our Code of Ethics. Generally we do not allow secondary full-time employment. For any outside activity, we require disclosure that must first be approved by the manager ...
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