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Fintech: Consulting Services for the Innovation Age
Compliance Management System (CMS) Reviews
Engage our consultants to review compliance policies, processes, controls, monitoring, reporting, training and systems to develop a gap analysis and actionable recommendations to improve the operational efficiency and overall CMS against the requirements of federal regulators.
Unfair and Deceptive Acts and Abusive Practices (UDAAP) Reviews
A risk-based evaluation of the CMS for alignment with consumer protection principles, including UDAAP, to determine whether it sufficiently monitors, identifies and addresses potential acts or practices that materially increase the risk of consumers being treated in an unfair, deceptive, or abusive manner.
Fair Lending Reviews
A statistical review of a specific dataset to determine potential discrimination on a prohibited basis done by comparing lending patterns to demographics and peers. The Review can also include focal point reviews, conduct regression analysis to identify outliers, and isolate data to assist with comparative file reviews.
Due Diligence for New Partners
A CMS review of strategic partners, including: Fintech partner review, due diligence, CMS review, compliance program diagnostic/gap analysis, vendor management program review, third party risk assessment, compliance program development.
An evaluation to identify hazards related to non-compliance with consumer protection regulations due to inadequacy of controls or program gaps.
Policies & Procedures-- Training
Staff and Board training on new regulations and policies and procedures as part of maintaining a strong CMS.
WebinarComplianceMay 18, 2023Top developments driving fair lending compliance right nowOur speakers Paul Hancock and Olivia Kelman provide a comprehensive update on recent Fair Lending activity and discuss what recent regulatory developments might signal in terms of emerging oversight and enforcement measures.Learn More
Press ReleaseComplianceMay 09, 2023Wolters Kluwer offers risk and compliance insights on recent bank failuresRecently published commentary by Wolters Kluwer experts sheds light on several major bank failure causes and warning signs —as well as suggestions for monitoring and better understanding the context in which these kinds of disruptions could unfold.Learn More
WebinarComplianceMarch 16, 2023UDAAP, the risk that keeps on giving: Avoid unexpected surprises throughout the loan lifecycleIn this on-demand webinar, compliance experts address the inherent risks and compliance strategies associated with the UDAAP regulations as they relate to the loan lifecycle.Learn More
Press ReleaseComplianceMarch 13, 2023Wolters Kluwer to host UDAAP webinarWolters Kluwer's March 16 webinar, “UDAAP, the Risk That Keeps on Giving: Avoid Unexpected Surprises Throughout the Loan Lifecycle,” explores the inherent risks of unfair, deceptive, or abusive acts or practices for financial firm compliance.Learn More
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