Podcast: Documentation alongside the board and management – regulatory compliance

Our latest episode is the second in our series diving into management’s and the board of director’s roles in documenting appropriately. In our second episode in this series, Mike Vesel discusses how those roles and documentation mean for regulatory compliance with two of Wipfli’s regulatory compliance specialists: Kathy Enbom and Robin Guthridge.

Sharing their knowledge and experience, Mike, Kathy and Robin dive into information the board expects/requires as it relates to regulatory compliance, including the Bank Secrecy Act (BSA), management’s role in providing information to the board, and more.

The first episode focused on the relationship to IT. You can listen to it here.

To learn more about our regulatory compliance services for financial institutions, visit our web page.

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