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Compliance/Regulatory - Banking Exchange
LendUp says its early mistakes weren't matter of dishonesty, but more being newbies at lending. Now the lender has a ten-member compliance team.

Fintech lender charged with “failure to deliver”

In consent order, CFPB alleges LendUp didn’t keep its promises to consumers
Bank boards must close up the gaps to oversee compliance appropriately.

Compliance risk rises to top of board agenda

In wake of Wells affair, directors must reconsider what “risk appetite” really means
Based on a long compliance career with federal agencies, the American Bankers Association, and private consulting practice, expert Lucy Griffin assesses the latest wrinkle on consumer protection.

“Wells Problem”: How could you stop it in your bank?

When Audit can’t see it, spotting patterns—especially in complaints—may help
"There’s really not much that indicates we’ve learned anything new over the last several cycles,” says veteran lender and CEO Ed O’Leary. Each week in his blog he strives to fix that.

Handling the Wells dilemma

Banks need to sell. The challenge is balance, fairness, and ethics
Surviving a CFPB exam

Surviving a CFPB exam

Preparation’s half the secret. Making your case early helps too
Former #2 regulator at CFPB Steve Antonakes now drives a building up of compliance at Eastern Bank. He shares his perspectives on disclosure and more, and how Eastern prepares to cross the $10 billion threshold.

How former CFPB official handles compliance

Eastern Bank’s Steve Antonakes brings experience to bank side of the table
SNL Financial, part of S&P Global Market Intelligence, is the premier provider of breaking news, financial data, and expert analysis on business sectors critical to the global economy. This article originally appeared on the subscriber side of SNL Financial's website.

CRE weighs on lenders

SNL Report: Banks with elevated commercial real estate exposures scrutinized by regulators and analysts
One key protection for compliance officers: Be careful what you volunteer for, because you will be held accountable for it.

Personal liability after the Yates Memo

Mixed with paid whistleblowing, this results in broader exposure. Yet the solution is straightforward
Customer due diligence rule finalized

Customer due diligence rule finalized

Beneficial owners of legal entities need to be known, verified. Legislation introduced on top of new rule
How to be a better compliance officer

How to be a better compliance officer

Some parting words from a veteran
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