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Social Media Compliance Monitoring for Loan Officers
March 19, 2021

Social Media Compliance Monitoring for Loan Officers

Now more than ever it’s critical for mortgage lenders to have a social media presence in order to connect with prospective...


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

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, Data and Analytics

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

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, Risk Management, Endorsements,

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, Call Center, Compliance Monitoring

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

The Impact of COVID-19 on Mortgage Servicers and Call Volume [INFOGRAPHIC]
July 1, 2020

The Impact of COVID-19 on Mortgage Servicers and Call Volume [INFOGRAPHIC]

Financial institutions, especially those who service mortgages, are feeling the impact of the COVID-19 pandemic in their call...


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