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The Regulatory Compliance Blog

The Regulatory Compliance & Growth Blog

Get the latest regulatory compliance news, consumer compliance insight, and growth strategies for your financial institution to succeed! If Fair Lending, CRA, HMDA, BSA/AML, UDAAP or branch strategy is a priority, this valuable blog is for you.

Kimberly Boatwright, CRCM, CAMS

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Banks  |  Credit Unions  |  Mortgage Lending  |  News & Tips  |  Risk Management

What are the Three Lines of Defense in a Compliance Management System?

Interested in learning more about how to define a strong compliance management system, and details on those three lines of defense? This post is for you.

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Fair Lending  |  Risk Management

What is Fair Lending Discrimination?

In this post, you'll learn more about Fair Lending and discrimination. In addition, you'll see five examples of potential Fair Lending discrimination. How many of them can you correctly identify?

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Data Analytics + Fair Lending: How It All Fits

Learn why data analysis is essential for Fair Lending compliance!

Get your copy of the perfect intro to Fair Lending analysis for beginners and experts alike.

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Growth & Branch Strategy  |  News & Tips  |  Risk Management

5 Ways to Convince Management that Compliance is Important

With changing regulatory requirements and increasing costs, successfully managing compliance is a challenge in the best of circumstances. The task of effectively managing and mitigating your risk is made much more difficult if you don't have the support of your management team. This post is written for compliance professionals and management teams at financial institutions, and is designed to help convince management of the importance of compliance. Here are 5 suggestions to help communicate with management about the importance of compliance.

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Banks  |  Fair Lending  |  Risk Management  |  UDAAP

The Top 7 Lessons Learned at the ABA Regulatory Compliance Conference

Every year, the American Bankers Association hosts the Regulatory Compliance Conference. Last week, almost 2,000 bankers and compliance professionals traveled from all over to attend the conference in Orlando. I attended many informative sessions led by some of the leading minds in the industry, and came home with new perspectives, ideas and recommendations to consider. In this post, I'll share the top 7 things I learned at the ABA RCC conference. Read on to learn more!

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Banks  |  Fair Lending  |  Risk Management

Compliance 101: Independent Audits, Independent Reviews & Self-Testing

When it comes to compliance, risk management, and consulting, there are a few terms you should know so that you set the stage for success. Here, we will define three of those words, and help you understand the key differences between them.

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Fair Lending  |  Risk Management

Fair Lending 101: Defining Fair Lending Audits, Risk Assessments, Self-Tests & More

Whether you're a compliance novice or an old pro, you may have questions about compliance. We've noticed a bit of confusion over the differences between Fair Lending audits, risk assessments and self-testing. In this quick post, we'll define those key terms (plus a few more) and explain how they fit together.

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