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In a recent COMPLY Summit Series event, we were joined by Alan Gibson, Assistant General Counsel of Compliance and Ethics at...
Tags: Risk Management, Compliance Monitoring, Documents,
On September 10th, the Commodity Futures Trading Commission (CFTC) issued new guidance for financial institutions on the...
Tags: Regulatory Compliance, Consumer Protection, Risk Management,
Social media is a powerful marketing tool for financial services marketers, with the potential to reach billions of consumers...
Tags: UDAAP, Social Media, Advertising,
The Institute of Internal Auditors (IIA)’s “Three Lines of Defense Model” has long been utilized by organizations as guidance...
Tags: Risk Management, Compliance Monitoring
Many decisions made within companies come down to the question of risk vs. reward. While taking some risks may bring a company...
Tags: Regulatory Compliance, Performance Management, Risk Management,
As regulators focus more closely on consumer protection, compliance programs must be reevaluated to ensure they are effective,...
Financial institutions, especially those who service mortgages, are feeling the impact of the COVID-19 pandemic in their call...
Tags: Thought Leadership, Mortgage, Risk Management,
During our virtual discussion with Richard Cordray, former Director of the CFPB, he shared his insights on a range of timely...
Tags: Thought Leadership, Complaint Management, Risk Management,
RegTech is a critical tool for companies looking to mitigate their regulatory and reputational risk. RegTech acts as a...
Tags: Thought Leadership, Risk Management, Lessons Learned from Former CFPB Director,
Download this guide to learn what every company should know to reduce exposure to Unfair, Deceptive or Abusive Acts and Practices (UDAAPs) and other common compliance violations.
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