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Director Risk and Compliance Seminar

Also read: "Fraud Protection"

Risk Management Published Info

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How C-Level Execs Prepare for and Handle NCUA Exams

Jerry L. Courson

Boards can benefit from knowing the best practices C-level executives typically apply when the regulators are coming.

4 Regulatory and Business Concerns for Boards in 2014

John H. DeLoach

A board is charged with ensuring a CU’s compliance with applicable laws and regulations, as well its safety and soundness. Here are four key things to think about this year.

Risk Appetite Questionnaire

John Bugalla

John Bugalla provided attendees of the CUES School of Risk Management with this questionnaire, designed to help boards and CEOs generate the right kind of discussion to develop a statement of the CU’s risk tolerance.

Six Key Elements of IT Risk Governance

Jim Benlein, CISA, CISM

What best practices can you apply to governing information technology threats at your credit union?

6 CFPB Compliance Concerns for Your Board’s Consideration in 2013

John H. DeLoach

The board must, through proactive guidance and ongoing follow-up, ensure the management team fulfills the credit union’s compliance obligations. Here are six areas to focus on this year, courtesy of the Consumer Financial Protection Bureau.

Will CFPB Net Unintended Fish? Part 1

Charlene Komar Storey

This article describes the history of CFPB, some reasons why credit unions fear CFPB, and the burden that comes with its formation. Part two of this two-part series takes a look at the agency’s structure, plus experts’ concern that CFPB is not charged with considering the safety and soundness of financial institutions as it promotes actions designed to protect consumers. Both articles were adapted from a longer feature that first ran in CUES’ Credit Union Management magazine.

Will CFPB Net Unintended Fish? Part 2

Charlene Komar Storey

In part one of this two-part series we discussed the history of CFPB, some reasons why credit unions fear CFPB, and the burden that comes with its formation. Part two takes a look at the agency’s structure, plus experts’ concern that CFPB is not charged with considering the safety and soundness of financial institutions as it promotes actions designed to protect consumers. Both articles were adapted from a longer feature that first ran in Credit Union Management magazine.

Supervisory Committee’s Role in ERM

Les Wallace

High-performing credit unions are expanding the supervisory committee role beyond financial controls and external audit to a more expansive look at the risks of an enterprise.

Contingency Planning for NCUA Corrective Action

Dee Crisp, CCE

Directors play a key role in responding to examiners if they take disciplinary steps against a credit union they think is not operating as it should.

Compliance 2012

John DeLoach

5 requirements that deserve your board’s attention.

Courtesy Pay as Financial Risk Mitigator

Mike Sobba

Fully disclosed courtesy pay programs can help credit unions serve members and their own bottom lines.

How the Board and Supervisory Committee Work Together

Bryan W. Mogensen, CPA

Both directors and supervisory committee members must continue to educate themselves about credit union financial management, as well as the changing marketplace in which they must operate.

When the Examiner Wants to Talk with the Chair--Alone

Dee Crisp, CCE

Examiners sometimes ask to speak privately with the credit union’s chairman. Why is this done? What can a chair do to prepare for such a meeting? What are expectations the chair can have of the regulator in this circumstance?

Fraud Considerations for Today’s Supervisory Committees

Todd A. Sprang, CPA, and Bryan W. Mogensen, CPA

Credit union boards, supervisory committees and executives are faced with a host of significant risks in today’s complex business and regulatory environment, not the least of which is the potential for fraud. What’s more, directors can be held accountable for fraud and other misdeeds about which they had no prior knowledge.

 

The National Association of Corporate Directors identified risk-and-crisis oversight as one of the top three priorities for corporate boards in its 2010 annual survey. The survey also found that 45 percent of companies consider risk oversight to be the responsibility of the board of directors.

ERM II: Initiating the Process

John Bugalla and Janice Hackett

This is the second in a two-part series exploring the subject of enterprise risk management and its relevance to credit unions. This article discusses some of the strategic and tactical decisions behind ERM.

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