Economic pressures, aggressive lending and evolving compliance and conduct expectations have prompted heightened regulatory scrutiny on financial institutions. In response, A&M’s Financial Industry Advisory Services team offers institutions Compliance Management System (CMS) Assessments designed to proactively manage regulatory compliance risk and help prepare for regulatory examinations. A&M regularly performs full CMS reviews, evaluating a number of criteria to ensure that a strong system is in place. For the list of criteria, please visit our tear sheet here.
October 16, 2017