Compliance Resources

TCC (Taking Care of Compliance) – A Spotlight on FINRA Social Media Compliance

The phrase “Taking Care of Business (TCB)” is synonymous with the King of Rock n’ Roll Elvis Presley, who utilized the acronym with a lightning bolt...

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3 Reasons Why Mortgage Social Media Marketing Is Worth the Risk

Social media has emerged as one of the most powerful tools in digital marketers’ toolbox. However, in the highly-regulated world of mortgages where...

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5 Social Media Post Ideas for Banks to Drive Customer Acquisition and Retention

With 72% of U.S. adults reporting using at least one social media platform, social media is an obvious channel through which banks can engage with...

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That’s Not My Page! Social Media Made for You, But Not by You.

Carefully curating a corporate mortgage/financial services social media presence is practically a full-time job, given the intense regulatory focus...

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Mischief Managed: Managing Social Media Risk as Part of Your CMS

Having a compliance management system (CMS) is a well-known regulatory imperative, but did you know that mortgage lenders and financial institutions...

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ECOA & Advertising: What’s the Connection?

With Fair Lending top of mind for regulators and lenders alike, it is essential to understand the regulatory underpinnings of this legal concept. Two...

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5 Things to Know About Regulation DD’s Social Media Ad Requirements

1. What is Regulation DD?

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Team Names & Other DBAs – What Are the Rules?

Loan officers and other financial industry members utilize social media every day to market themselves to consumers on a more personal level. As more...

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Disparate Impact vs. Disparate Treatment - What’s the Difference?

For newcomers breaking into the lending industry, the sheer number of laws in place to regulate lender practices can seem uncountable. Whether it’s...

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