New OCC Rules on Fraud Risk Management

Part 1: Governance, Operations, Management   Introduction   On July 24, 2019, the OCC issued Bulletin 2019-37 Operational Risk: Fraud Risk Management Principles. The OCC guidance can be broken down into three components:   Governance/Culture Ethical standards and employee accountability.   Risk Management Operations Policies, procedures, processes, controls, personnel sufficient to identify, measure, monitor, and […]

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About Mark Stetler

Mark Stetler is CEO of RegSmart. He has a degree in Finance from Baylor University (cum laude, 1985) and a law degree from the University of Texas (with honors, 1988). Mark has worked in the financial services industry for 30 years as an attorney and entrepreneur. Mark previously co-owned one of the nation’s largest firms specializing in forensic financial audits. He is a Certified Anti-Money Laundering Specialist and a chief architect of RegSmart’s anti-money laundering risk assessment and audit SaaS.

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