Documents, Data, and Risk Management: Insights from Microsoft and PwC

In a recent COMPLY Summit Series event, we were joined by Alan Gibson, Assistant General Counsel of Compliance and Ethics at...


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Tags: Risk Management, Compliance Monitoring, Documents,

11 Best Practices for Marketing Compliance

Ensuring marketing compliance is as important as ever in today’s highly-regulated world, especially for those in the financial...


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Tags: Marketing Compliance

Welcoming Our New Board Member, LaSalle Vaughn

I’m thrilled to announce today that LaSalle Vaughn will be joining PerformLine’s Board of Directors. I’ve personally known...


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Tags: Company News

Prevention, Detection, and Remediation: CFTC’s Compliance Guidance

On September 10th, the Commodity Futures Trading Commission (CFTC) issued new guidance for financial institutions on the...


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Tags: Regulatory Compliance, Consumer Protection, Risk Management,

California's New 'Mini-CFPB' and What It Means For Compliance

In mid-2019, the New York Department of Financial Services (NYDFS) rearranged a few existing bureaus to form a new watchdog...


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Tags: Regulatory Compliance, UDAAP, Consumer Protection,

Financial Institutions, Social Media, and Compliance [Stats + Guide]

Social media is a powerful marketing tool for financial services marketers, with the potential to reach billions of consumers...


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Tags: UDAAP, Social Media, Advertising,

Three Lines Model: Proactive & Collaborative Approach to Risk Management

The Institute of Internal Auditors (IIA)’s “Three Lines of Defense Model” has long been utilized by organizations as guidance...


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Tags: Risk Management, Compliance Monitoring

Tech Innovation & The Solve for Financial Institutions During A Crisis

The COVID19 pandemic has upended nearly every aspect of life, including how companies interact with their customers, and how...


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Tags: Regulatory Compliance, Thought Leadership, Consumer Protection,

PerformLine Leans In on Black Lives Matter

Since the deaths of George Floyd, Ahmaud Arbery and Breonna Taylor that echoes so many other killings of Black people in...


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Tags: Regulatory Compliance, Thought Leadership, Anti-Discrimination,

Download our guide

Download this guide to learn what every company should know to reduce exposure to Unfair, Deceptive or Abusive Acts and Practices (UDAAPs) and other common compliance violations.

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