Consumer Complaint Counts Can Help Determine Enforcement Risk [Report]
November 12, 2020

Consumer Complaint Counts Can Help Determine Enforcement Risk [Report]

Every year in our annual Consumer Complaints Report, we take a look at the Consumer Financial Protection Bureau (CFPB)’s...


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Tags: Regulatory Compliance, CFPB, Consumer Protection, Risk Management, Consumer Complaint Series

Helpful Resources On The Election’s Impact on Regulatory Compliance and the Financial Services Industry
November 6, 2020

Helpful Resources On The Election’s Impact on Regulatory Compliance and the Financial Services Industry

As the 2020 election continues and we wait for a final call of who will be our president for the next four years, what lies...


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Tags: Regulatory Compliance, Consumer Protection

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

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,

The Pandemic Isn’t Slowing Down CFPB’s Supervisory or Enforcement
July 21, 2020

The Pandemic Isn’t Slowing Down CFPB’s Supervisory or Enforcement

The COVID-19 pandemic has drastically shifted the way that many businesses are operating, and the Consumer Financial...


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Tags: Regulatory Compliance, Mortgage, CFPB, Consumer Protection, COVID-19

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, Compliance Monitoring

Mortgage Forbearance: The Challenges for Servicers and Consumers
June 4, 2020

Mortgage Forbearance: The Challenges for Servicers and Consumers

As part of the COMPLY Summit Series, we had a virtual discussion with Richard Cordray, former Director of the CFPB, where he...


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

Managing a Remote Workforce, Protecting Your Organization & Staying Compliant
May 28, 2020

Managing a Remote Workforce, Protecting Your Organization & Staying Compliant

As part of our COMPLY Summit Series, we recently sat down with Richard Cordray, former Director of the Consumer Financial...


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Tags: Thought Leadership, Mortgage, Consumer Protection, Risk Management, Call Center,

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