Case Study Category: CMS Reviews

Case Study: CMS Design and Effectiveness Review

CMS Review: CMS Design and Effectiveness Review

Financial technology (“fintech”) companies engaging in banking activities, such as underwriting and originating loans, are often required by their partner banks to have a compliance management system (“CMS”)…

Case Study: Complaints Testing and Risk Assessment

Case Study - Complaints Testing and Risk Assessment

Financial institutions are required by their regulators to have a Compliance Management System (CMS) that effectively manages consumer compliance related risks.