Hola- Compliance Servicios en Español
By: Julie on July 6, 2018
Nos complace anunciar que nuestros increíbles servicios de cumplimiento y soluciones tecnológicas ahora están disponibles con asistencia en Español. Entendemos que el cumplimiento normativo puede ser abrumador y si las cartas, los documentos y la capacitación no están en el idioma con el que se siente cómodo, eso intensificará el desorden. Con nuestra ayuda en español, tendrá a alguien que… Read More
Compliance Personality Traits
By: Julie on June 12, 2018
What's Your Compliance Personality? There are countless things we have learned from being in financial services for over 40 years, but one of the most valuable is how to develop and improve compliance services and technology solutions based off of the needs of the many personalities that we have worked with along the way. We have analyzed and categorized our… Read More
Compliance Management Systems (CMS) Tips
By: Julie on October 26, 2017
A Compliance Management System or CMS is an important part of an Institution’s compliance efforts to maintain legal compliance. An effective CMS is integrated into the overall framework of the institution. Establishing a customized CMS for your institution can be a daunting task, but we have put together some framework to help you better understand the key components. Financial Service… Read More
By: Julie on July 18, 2017
  While there are many reasons for being declined by a bank as an MSB or FSC, these are some of the most common: PROCRASTINATION Many of our clients come to us at the 11th hour. If you receive a letter from the bank, make sure to inform us, or your preferred compliance consultant early. DO NOT PROCRASTINATE! Immediately engage.… Read More
By: Julie on June 6, 2017
Growing our team and partnering with the best in the regulatory industry is our mission, but adding expertise that increases the value of our services and leads us into emerging markets is a plus. By joining our team, Jill Emerson brings her comprehensive experience, keen eye for detail and thirst for more regulatory compliance. With 28 years experience within the… Read More
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