Tag: OCC

Daily Compliance News

June 28, 2022 the Trump SPAC Under Investigation Edition

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Post date June 28, 2022
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In today’s edition of Daily Compliance News:

OCC says banks are facing new and additional risks. (WSJ)
Trump SPAC is under investigation. (NYT)
Nigeria’s top judge resigns amid corruption allegations. (KXAN)
Corp expansion on hold? (Reuters)

Tags corruption, M&A, Nigeria, OCC, SPACs

Compliance Into the Weeds

OCC Guidance on 3rd Party Risk Management

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Post date March 11, 2020
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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode we take a deep dive into recent OCC Guidance on managing 3^rd party risk. Some of the highlights include:

What was the Office of the Comptroller of the Currency, guidance published the on March 5?
Why is 3^rd party risk still a chronic issue?
What is the role of due diligence?
What are sustainable business models for 3^rd party risk management?
What are 4^th party risks?
What is Kelly’s Law of 3^rd Party Risk Management?
A short discussion of FINRA’s new bulletin on pandemic risk?