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Sep 30th, 2021

Finding the Risk in KRIs

Many financial institutions and fintechs of all types have some sort of exception reporting as part of their periodic KRI (key risk indicator) reporting.  When…

Sep 28th, 2021

Monitoring or Performing Quality Control on a Function that’s “In-Flight”

Brandi B. Reynolds, CAMS-Audit, CCI, CCCE We’ve all been on one (or both) sides of this equation at some point in our careers.  You are…

Sep 21st, 2021

Enhanced Procedures for Issuing Internal Reports

It starts with an audit finding: Assume for this article that you’re a new compliance, AML, or fraud officer who joined the company about three…

Aug 11th, 2021

FinTech Advisors has joined forces with CorCom!

FinTech Advisors has joined forces with CorCom!  These two great teams are now operating under the CorCom Brand.

Aug 10th, 2021

SEC charges crypto exchange execs for the first time over unregistered token sales

The Securities and Exchange Commission issued its first charges against the decentralized finance industry Friday, accusing two people of illegally selling over $30 million of…

Aug 10th, 2021

Bill Introduced in Congress to turn CFPB Structure into Commission

Maybe this time, things will be different. For not the first time, a bill has been introduced in Congress that seeks to change the leadership…

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