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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

Compliance Obligations for Point-Of-Sale Lenders & Their Merchants [CHECKLIST]
May 14, 2020

Compliance Obligations for Point-Of-Sale Lenders & Their Merchants [CHECKLIST]

Traditionally, point-of-sale financing was offered to consumers for the purchase of big-ticket items, such as furniture,...


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Tags: Regulatory Compliance, Point-Of-Sale, Regulation Z, Merchant Compliance

The Reputational Risks of Social Media and How To Mitigate Them [PART 6]
May 6, 2020

The Reputational Risks of Social Media and How To Mitigate Them [PART 6]

Along with regulatory risks, the Federal Financial Institutions Examination Council (FFIEC) highlights several areas of...


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Tags: Regulatory Compliance, Social Media, Social Media Compliance Series, Risk Management, Endorsements

How to Properly Disclose Endorsements On Social Media [PART 5]
April 29, 2020

How to Properly Disclose Endorsements On Social Media [PART 5]

Since the Fyre Festival scandal back in 2017, influencers and the companies using them have been under increased scrutiny by...


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Tags: Regulatory Compliance, Social Media, Social Media Compliance Series, Risk Management, Endorsements

How to Ensure Employee Compliance on Social Media [PART 4]
April 22, 2020

How to Ensure Employee Compliance on Social Media [PART 4]

Posts on social media made by an employee could be viewed by the public as reflecting the financial institution’s official...


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Tags: Regulatory Compliance, Social Media, Social Media Compliance Series, Risk Management, Brand Management

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, Risk Management, Compliance Monitoring

Industry-Specific Regulatory Requirements for Financial Institutions Using Social Media [PART 2]
April 8, 2020

Industry-Specific Regulatory Requirements for Financial Institutions Using Social Media [PART 2]

Social media compliance isn’t all focused on endorsements and reviews – financial institutions must ensure that their accounts...


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Tags: Regulatory Compliance, TCPA, TILA, FDCPA, Social Media,

Mortgage Servicers and Verbal Loss Mitigation During COVID-19
April 7, 2020

Mortgage Servicers and Verbal Loss Mitigation During COVID-19

Regulators understand the impact the COVID-19 pandemic is having on consumer and business alike. Federal regulators, including...


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Tags: Product, Regulatory Compliance, Mortgage, CFPB, Consumer Protection,

Compliance Challenges & the Resources to Navigate COVID-19
April 6, 2020

Compliance Challenges & the Resources to Navigate COVID-19

During this unprecedented time, the safety of our staff, clients, colleagues and network is our main concern. But after...


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Tags: Product, Regulatory Compliance, Thought Leadership, Consumer Protection, COVID-19

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