11/05/2001
11/05/2001
11/05/2001
I was researching information on BOL and came across an answer that you had given regarding Opening Procedures - one vs. two employees. We currently have a policy in place that requires two persons to open. The problem...our CFO arrives extremely early and opens by herself. She knows the policy and accepts responsibility for the fact that she is not following it. The other problem....during a recent audit we were cited for this. The auditors arrive early and thus saw her disregarding policy. I know in Banking that senior management always presents this problem but I need to address it. I really don't want to change our two person policy. The auditors recommended having each employee sign an acknowledgment of policy to be placed in their file. Do you have any other suggestions? We are a very small 2 branch organization in the country.
11/01/2001
Question: In several of your workshops, I've heard you and other speakers advise against combining the roles of Auditor and Security Officer, especially when the Security Officer
10/01/2001
Under what Act or Regulation is it specified that each branch a "Notice of Availability of Financial and Other Information" must be displayed?
09/17/2001
08/06/2001
How do banks intend to monitor their service providers to confirm that they are maintaining appropriate security measures to safeguard the bank's customer information? We are looking for a practical, reasonable way to do this.
08/06/2001
Is there a list of safe deposit security procedures we are required to take? Are there any federal regulations on this?
04/30/2001
02/05/2001
Do you have any "Never do this!" type items for bank marketers? I have been in marketing at other companies, but this is my first time at a bank and I'm wondering if there are some types of campaigns that just don't work well.