07/07/2003
What procedures should be followed in the case of missing travelers checks? We have our internal auditors on the case now. What steps should the compliance officer take and is there anything he/she needs to do or will the security officer have most of the responsibility?
02/01/2003
Question: It seems as if we will never get all the questions answered on the completion of CTRs. Ours is the completion of a CTR on deposits to joint ownership deposit accounts.
12/01/2002
Question: Are there any requirements / procedures / rules, UCC or otherwise, regarding the use of deposit tickets?
10/07/2002
I am looking for suggestions. I am trying to find the right solution to a dispute with retail. A time management firm has come in and reduced staffing in our branches. This has caused tremendous breaches of our policy of dual control in all cash handling areas. I have suggested a fix I have used in other banks; keep sets of combos in separately sealed envelopes in a dual control container at a nearby branch. When branch "A" needs a particular half of the combo, they can call branch "B" and get it over the phone. Of course we have to advise the folks not to write it down. Any thoughts?
08/12/2002
I'm a new IT auditor. My institution is planning to offer Internet banking. I have been asked to set up a system of controls. Where can I find some helpful documentation about the subject?
07/15/2002
Is there a requirement for an annual audit of the ATM? I keep hearing it come up and cannot locate a reference.
07/01/2002
I'm a new IT auditor. My institution is actually planning to implement internet banking and I am asked to set up a system of controls. Where can I find some helpful documentation about the subject?
07/01/2002
Question: Are there any Uniform Commercial Code Regulations about financial institution customers having to use deposit tickets?
07/01/2002
No matter how you count or measure compliance risk, Truth in Lending has led the list for decades. The number of errors that translate into violations is always high.
06/03/2002
Just what should I as BSA officer be doing right now in light of the USA Patriot Act? I've gotten bits and pieces but nothing I consider real definitive.