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,

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,

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,

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

Risk Management In Your Call Center: Compliance and Agent Performance
July 17, 2020

Risk Management In Your Call Center: Compliance and Agent Performance

Many decisions made within companies come down to the question of risk vs. reward. While taking some risks may bring a company...


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Tags: Regulatory Compliance, Performance Management, Risk Management,

Compliance Guidance: DOJ Asserts Middle Managers and Data Are Key to Success
July 9, 2020

Compliance Guidance: DOJ Asserts Middle Managers and Data Are Key to Success

As regulators focus more closely on consumer protection, compliance programs must be reevaluated to ensure they are effective,...


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Tags: Regulatory Compliance, Consumer Protection, Risk Management,

RegTech: Institutionalizing Compliance & A Better Customer Experience
June 18, 2020

RegTech: Institutionalizing Compliance & A Better Customer Experience

RegTech is a critical tool for companies looking to mitigate their regulatory and reputational risk. RegTech acts as a...


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Tags: Thought Leadership, Risk Management, Lessons Learned from Former CFPB Director,

What Lead Buyers & Generators Should Know to Stay Compliant: Lead Generation Week
June 3, 2020

What Lead Buyers & Generators Should Know to Stay Compliant: Lead Generation Week

Last week, PerformLine participated in Lead Generation Week on the session “Compliance Full Circle: The Lessons Lead Buyers...


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Tags: Thought Leadership, TCPA, Lead Gen,

How to Manage Social Media Marketing and Compliance In Financial Institutions [PART 3]
April 15, 2020

How to Manage Social Media Marketing and Compliance In Financial Institutions [PART 3]

According to Federal Financial Institutions Examination Council (FFIEC)’s supervisory guidance on social media, financial...


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Tags: Regulatory Compliance, Social Media, Social Media Compliance Series,

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