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Compliance Guru

From the Field

Enlightenment from recent audits, examinations and customer questions

Say What You Do…But Do What You Say

Feedback from recent regulatory examinations indicates a potentially troublesome trend; regulators are actually reading your …
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Windows XP and Electronic Banking

The FFIEC has previously issued a statement on Windows XP and the regulatory expectations for …
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A Look Back at 2013…and a Look Ahead – Part 1 (charts edition)

One thing that’s clear from the examination feedback I’ve received from financial institutions in 2013 …
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Hot Topics

The Guru reflects on recent events

FDIC Re-issues Service Provider Guidance

Originally released in 2001, the FDIC recently re-issued 3 publications related to managing outsourced relationships:…
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FFIEC Issues Final Social Media Guidance…and Challenges Remain (UPDATE)

UPDATE 1/22/2014 – Compliance Framework Checklist added (scroll down)

Originally proposed back in January 2013, …
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The OCC Sets a New Standard for Vendor Management…

…but will it become the new standard for institutions with other regulators?  UPDATE – The
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About the Compliance Guru

Tom Hinkel has over twenty years experience in IT regulatory compliance, risk management and information security both inside banks and as a consultant for institutions of all sizes, Hinkel also serves as a regulatory compliance resource and certified educator for Safe Systems' bank and credit union clients.

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