Stop by Daily for What's Hot Right Now in Compliance & Risk for Credit Unions & Banks
In an effort to avoid the financial exploitation of older investors, FINRA (Financial Industry Regulatory Authority) has proposed new rules which would permit brokers to place temporary holds on the disbursement of funds from “specified adult” customer accounts, as well as requiring brokers to obtain the name of a “trusted contact person” who can be reached if a hold is imposed. The proposed rule can be found here. [10/28/15]
Complaints: Why you shouldn’t shun them, but invite them! In this era of exploding complaint volume, this certificated webinar (see instructions in video for how to get your free certificate of completion) takes a look at the risks, evolution, and need for a management strategy to effectively deal with complaints. Before that, we cover what’s hot in compliance, as seen by the editors of Risk InboX. This week’s hot items: 1) HUD cancels Obama era Fair Housing rule; 2) “HMDA” for boards and management; and 3) CFPB has added a new dimension to its complaint database. Click here to watch now.
What makes the patented AffirmX Risk Intel Platform different than anything else out there? Take the next 3 minutes to see what this revolutionary tool can do for your financial institution. Watch Video