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The OCC's “True Lender” Final Rule

This week, the Office of the Comptroller of the Currency (OCC) finalized a rule that determines who is considered the “true...


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Tags: Regulatory Compliance, OCC, Banking

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

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, Compliance Monitoring

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]

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

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, Innovation, RegTech,

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