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Compliance for Financial Services in the Era of a Biden Administration
November 17, 2020

Compliance for Financial Services in the Era of a Biden Administration

With the announcement of Joe Biden as the President-Elect, many are wondering, what does that mean for the world of compliance...


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Tags: Regulatory Compliance

Four Safety Practices And Resources Compliance Leaders Should Use Right Now
November 15, 2020

Four Safety Practices And Resources Compliance Leaders Should Use Right Now

This article was originally published on Forbes. 

As our country has slowly begun to reopen, organizations both large and...


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Tags: Regulatory Compliance, Mortgage, Call Center, Compliance Monitoring

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

Gearing Up to Buckle Down: How Election Results Could Affect Compliance
November 2, 2020

Gearing Up to Buckle Down: How Election Results Could Affect Compliance

With election results soon to come, compliance officers around the country are bracing for a potential shake-up should a...


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Tags: Regulatory Compliance, CFPB

The OCC's “True Lender” Final Rule
October 30, 2020

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

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,

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