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In a recent COMPLY Summit Series event, we were joined by Alan Gibson, Assistant General Counsel of Compliance and Ethics at...
Tags: Risk Management, Compliance Monitoring, Documents, Data and Analytics
Ensuring marketing compliance is as important as ever in today’s highly-regulated world, especially for those in the financial...
Tags: Marketing Compliance
I’m thrilled to announce today that LaSalle Vaughn will be joining PerformLine’s Board of Directors. I’ve personally known...
Tags: Company News
On September 10th, the Commodity Futures Trading Commission (CFTC) issued new guidance for financial institutions on the...
Tags: Regulatory Compliance, Consumer Protection, Risk Management, Compliance Monitoring
In mid-2019, the New York Department of Financial Services (NYDFS) rearranged a few existing bureaus to form a new watchdog...
Tags: Regulatory Compliance, UDAAP, Consumer Protection, Regulators
Social media is a powerful marketing tool for financial services marketers, with the potential to reach billions of consumers...
Tags: UDAAP, Social Media, Advertising, Risk Management, Endorsements,
The COVID19 pandemic has upended nearly every aspect of life, including how companies interact with their customers, and how...
Tags: Regulatory Compliance, Thought Leadership, Consumer Protection, Innovation, RegTech,
Since the deaths of George Floyd, Ahmaud Arbery and Breonna Taylor that echoes so many other killings of Black people in...
Tags: Regulatory Compliance, Thought Leadership, Anti-Discrimination, Company Culture, Black Lives Matter
An analysis of consumer complaints and the risk signals that they present for financial institutions