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Using Risk Data & Analytics To Thrive

Harnessing all of the data your company holds can unlock an early warning system for risk, but building out a risk and data...


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Tags: Innovation, Risk Management, Data and Analytics, Webinar

Compliance Initiatives for Partner Bank and Fintech Card Programs

In the past few years there’s been an increase in fintechs partnering with behind-the-scenes banks in order to issue credit...


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Tags: Risk Management, Banking, Credit Cards

3 Trends That Leave Credit Card Issuers Exposed To Risk

Over 190 million Americans have credit cards with an average of 2.7 cards per holder, making them one of the most...


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Tags: Regulatory Compliance, Risk Management, Compliance Monitoring, Banking, Credit Cards

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]

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

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

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]

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

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

Get the 2021 Complaint Risk Signal Report

An analysis of consumer complaints submitted to the CFPB and the risk signals they present for financial institutions.

2020-consumer-complaints-report