Finding the hidden risks in sales practices
As financial institutions pursue aggressive new sales goals, organizations need proactive, independent review of their own sales practices, write guest columnists Chris Sicuranza and Paul Noring.
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OpinionEvidentiary Debt: The blind spot liability
On a gray Tuesday morning, the audit seemed routine. A stack of binders sat on the table, the compliance officer was confident, and the regulator’s tone was cordial. Then came the question that changed everything.