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Compliance Guru

From the Field

Enlightenment from recent audits, examinations and customer questions

Ask the Guru: The Vendor Report of Examination (ROE)

Hey Guru,

Where in the handbook does it state the Bank should request exam reports
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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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Hot Topics

The Guru reflects on recent events

Vendor Management in 3 Parts. Part 1 – Risk Identification (or, “do they or don’t they?”)

Service provider oversight (aka vendor management) is undoubtedly the hottest hot-button item on the regulator’s …
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Cybersecurity – Part 2

In Part 1 I discussed the increasing regulatory focus on cybersecurity, and what to expect …
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Cybersecurity – Part 1

Cybersecurity has gotten a lot of attention from regulators lately, and with assessments already underway …
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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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