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Compliance Action, Volume 19, Number 11

September 12, 2014

UDAAP: Who's in Charge? (7 Action Steps)

By Lucy Griffin

In light of the Federal Reserve's proposal to repeal Regulation AA, the agencies have issued guidance on compliance with the FTC Act in the absence of Regulation AA.

Complaints: The Center of Action (4 Action Steps)

By Lucy Griffin

Regulators are inviting consumer complaints – and using those complaints to gather intel and, in some cases, take action.

Action Training
Complaint Policy: A Checklist

By Lucy Griffin

Every financial institution's complaint program should go above and beyond "mere" rules.

Compliance Notes

Compliance Calendar

In the Editor's Opinion
Bank - A Four Letter Word?

By Lucy Griffin

With the industry taking the brunt for financial mishaps and consumer harm these days, the word "bank" has become a four-letter words.

Compliance Q & A

Executive Director:
Lucy H. Griffin, Esq.
Board of Advisors:
Patti Blenden
John S. Byrne, Esq.
David Battle
Robert P. Chamness
David Dickinson
Phillips G. Gay, Jr.
Barbara Hurst
Robert G. Rowe, III, Esq.
Michael D. Maher
Andy Zavoina

Compliance Action