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Documents, Data, and Risk Management: Insights from Microsoft and PwC
October 22, 2020

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, Data and Analytics

11 Best Practices for Marketing Compliance
October 8, 2020

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
September 15, 2020

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
September 11, 2020

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, Compliance Monitoring

California's New 'Mini-CFPB' and What It Means For Compliance
September 3, 2020

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, Regulators

Financial Institutions, Social Media, and Compliance [Stats + Guide]
August 25, 2020

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, Risk Management, Endorsements,

Three Lines Model: Proactive & Collaborative Approach to Risk Management
August 13, 2020

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
July 30, 2020

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, Innovation, RegTech,

PerformLine Leans In on Black Lives Matter
July 28, 2020

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, Company Culture, Black Lives Matter

GET THE 2020 CONSUMER COMPLAINTS REPORT

An analysis of consumer complaints and the risk signals that they present for financial institutions
2020-consumer-complaints-report