The financial industry has always been subject to its share of regulation, including those mandated by the various regulatory agencies, including the Federal Deposit Insurance Corporation, Comptroller of the Currency and Federal Reserve Bank.
Over the last several years, the regulatory agencies have implemented risk-focused examinations to evaluate financial institutions’ safety and soundness. Examinations also assess areas such as internal controls, financial condition and compliance with applicable laws and regulations. An institution’s most vulnerable areas receive the greatest scrutiny.
At McGladrey LLP, we use risk-based compliance programs to provide a sound risk assessment strategy. Our risk-based approach, developed through years of experience, is designed to identify and qualify the vulnerabilities our clients face. Working together, we develop plans to protect our clients against financial and regulatory risks.
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