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Tracking and Communicating Training Program Status

Apr 16, 2024

In this article, BAI highlights the solutions provided in the BAI Learning Manager that help organizations create and manage compliance training programs that meet regulatory expectations....
Compliance, Regulation & Risk

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Regulators Care About More Than Course Completions

Apr 16, 2024

In this article, BAI addresses how learning management software can help organizations create training programs that meet regulatory expectations and help foster a culture of compliance....
Compliance, Regulation & Risk

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Setting and Monitoring Policy and Procedure Success Metrics

Apr 16, 2024

In this article, BAI highlights key metrics organizations should benchmark to measure effectiveness throughout a policy and procedure’s lifecycle....
Compliance, Regulation & Risk

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Setting Training Metrics to Monitor Program Success

Apr 16, 2024

In this article, BAI highlights key metrics businesses should be benchmarking to measure the effectiveness of their compliance training courses throughout their lifecycle....
Compliance, Regulation & Risk

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Regulators Care About More Than Just Policy Acknowledgements

Apr 3, 2024

An increasing amount of regulations are being passed which is requiring financial services organizations to rapidly create and update policies and procedures. Businesses try to ensure that their policies and procedures are acknowledged in a timely manner, but regulators care...
Compliance, Regulation & Risk

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Tracking and Communicating Policy and Procedure Status

Apr 3, 2024

Today, many organizations track the success of their policy management program based on the number of on-time acknowledgements they receive. While this is important, regulators want organizations to track more than acknowledgements to be successful—they also want to see that...
Compliance, Regulation & Risk

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Identifying Data Discrimination Biases

Mar 1, 2024

Every company has policies that cover how to identify and prevent discriminatory behavior. Even after employees acknowledge these policies, there are inherent biases they could have where they may discriminate without even realizing it, especially during the loan review process. BAI has put together a data sheet to help organizations develop policies that address specific data that is collected on a loan application that needs to be examined more carefully to ensure there is no discrimination against applicants. This document includes potential biases and considerations for several data points.
Compliance, Regulation & Risk

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Identifying Risk Assessment Scenario Biases

Feb 29, 2024

Financial services organizations have numerous departments that collect data to help them make better decisions on how to run their departments. When examining this data, department leaders need to train their staff to ensure that correlated metrics don’t lead to biased decision making when implementing new plans. BAI has put together a data sheet to help train businesses on understanding the most common risk assessment scenarios with key metrics that are gathered that could lead to biased decision making.
Compliance, Regulation & Risk

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HMDA Policy Considerations 

Jan 29, 2024

Is your organization prepared to update its Home Mortgage Disclosure Act (HMDA) policies in 2024? New filing requirements for HMDA were passed in 2023 that will go into effect in 2024. Given the volatility with the housing market, the...
Compliance, Regulation & Risk

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The Importance of Centralizing Your Policy and Procedure Management

Jan 1, 2024

Unaligned Policies and Procedures can Leave Your Organization Exposed. BAI helps financial services organizations understand the proper way to align their policies and procedures by highlighting important steps in the creation process....
Compliance, Regulation & Risk

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Key Regulatory Updates for 2024

Jan 1, 2024

Major final rules and proposals were released earlier in 2023 that will affect compliance training programs in 2024. Download to learn more about these rules and how they affect your compliance training program....
Compliance, Regulation & Risk

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Artificial Intelligence Policy Considerations

Jan 1, 2024

BAI has put together a document on artificial intelligence policy considerations to help financial services organizations know what they need to include in their AI policies....
Compliance, Regulation & Risk

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Commercial Real Estate Policy Considerations

Dec 1, 2023

BAI has put together a document on Commercial Real Estate considerations to help financial services organizations know what they need to include in their commercial lending policies. To learn more about how to make your organization’s commercial real estate policies more...
Compliance, Regulation & Risk

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Fraud Policy Considerations

Nov 30, 2023

In the current regulatory environment, it is important for financial services organizations to review their policies on fraud. BAI has put together a document on Fraud policy considerations to help financial services organizations define actions for averting fraud, address it...
Compliance, Regulation & Risk

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Qualities to Look for in Compliance eLearning

Oct 2, 2023

In BAI’s article: Qualities to Look for in Compliance eLearning, we provide several answers to questions financial services organizations should ask when assessing an eLearning provider’s content and platform, including: Does the provider have compliance expertise? Does the content feature...
Technology

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Assigning the Right Compliance Courses to the Right People

Sep 28, 2023

For a more in-depth look at the factors financial services organizations should look at when assigning courses, download “Assigning the Right Compliance Courses to the Right People” today. Learn More...
Talent & Workforce Management

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Today’s Policy Management – Meeting Regulatory Expectations and Resourcing Appropriately

Sep 26, 2023

In our article: Today’s Policy Management—Meeting Regulatory Expectations, and Resourcing Appropriately, we cover the key items that make a successful policy management program and highlight the key three areas policy management software helps organizations prepare for examinations, which includes: Scheduling...
Compliance, Regulation & Risk

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Section 1071 Data Collection and Reporting Requirements

Aug 1, 2023

In early 2023, the Consumer Financial Protection Bureau (CFPB) issued a final rule amending Regulation B to implement Section 1071 of the Dodd-Frank Act, also known as the Small Business Data Collection Act. The...
Compliance, Regulation & Risk

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Looking Ahead: Regulatory Changes That Could Require Policy Updates

Aug 1, 2023

Is your organization prepared to update policies based on new regulatory requirements? New regulations and updates to current regulations impact compliance policies for the financial services industry. Compliance professionals are always paying attention to...
Compliance, Regulation & Risk

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Making Policy Management More Effective

Jun 27, 2023

Policies and procedures are crucial to organizational success. They set the tone for the organization’s risk tolerance and show the support for compliance expected of each employee in their daily activities. Unfortunately, financial services organizations often don’t meet regulators’ policy expectations....
Technology

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Leveraging Microlearning for Compliance Training

May 4, 2023

Microlearning continues to grow in popularity for busy professionals because of its focus and efficiency. However, financial services regulators and compliance professionals are frequently skeptical about microlearning being appropriate for compliance training. Identifying how and when to utilize microlearning for compliance training...
Talent & Workforce Management