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FinTech Compliance Expertise


Legal and Compliance – Two Sides of the Same Coin


by InnReg

Legal and Compliance functions can at first glance seem to be closely intertwined for an outside observer. Indeed, both broadly deal with regulations and the impact of breaking them. However, the similarity falls short of the specific roles of legal and compliance and their related tasks. In fact, these roles work best when entrusted to separate experts. While combining these roles might seem appealing, especially for early-stage startups, there are conceptual differences to consider beforehand.


GLBA Compliance: GLBA Safeguards Rule (Part 3 of 3)


by InnReg

While the GLBA Privacy Rule places its focus primarily on notice and disclosure, the GLBA Safeguards Rule focuses instead on how NPI is protected. It mandates that financial institutions develop an information security plan in writing that describes all of the procedures and processes seeking to protect client NPI.


GLBA Compliance: An Overview (Part 1 of 3)


by InnReg

Financial institutions often share their customers’ and consumers' financial information with business partners and affiliates. In order to protect citizens’ privacy and decrease the likelihood of identity theft, in 1999 the United States Congress passed the Gramm-Leach-Bliley Act (GLBA), also known as the Financial Services Modernization Act.


The Ascension Case: A Good Example of GLBA Violations


by InnReg

On January 6, 2021, it was announced that Ascension Data and Analytics, LLC ("Ascension") settled a lawsuit with the Federal Trade Clinician ("FTC") which claimed that they breached the Gramm-Leach-Bliley Act ("GLBA") Safeguard Rules by failing to properly assure that the security provisions of their third-party service provider to ensure if properly protected consumers identifying financial information. This case serves as a warning to all companies using third party vendors.


Compliance Consulting: An Attorney's Guide


by InnReg

As a regulatory attorney or legal adviser, you want to make sure your clients succeed and avoid risk. As part of meeting your responsibilities It’s helpful to understand what makes or breaks your clients’ compliance programs. In addition, the more you know about what compliance consultants and service providers can do, the better you can serve your clients with meaningful counsel over the long haul.