Staying Ahead of Compliance with Insights from Sandhya Brown

07/26/24 • 19 min

COMPLY: The Marketing Compliance Podcast

In this episode of the COMPLY Podcast, we’re joined by Sandhya Brown, Assistant Director in the Division of Financial Practices at the Federal Trade Commission as she shares her perspective on what the Commission has been up to and what financial service providers should keep in mind in terms of compliance and consumer protection.

Discussion points include:

The two-sided risks of AI for compliance
Her insights on a couple of FTC cases involving lead generation
Updates on FTC rulemakings and guides

Discussion points include:

The two-sided risks of AI for compliance
Her insights on a couple of FTC cases involving lead generation
Updates on FTC rulemakings and guides

Previous Episode

Expert Insights on UDAAP and Deceptive Advertising Pt. 2

This COMPLY Podcast episode is part 2 of a discussion between John Zanzarella, PerformLine’s SVP of Sales, Jonathan Pompan, Partner at Venable LLP, and Brian Serafin, Counsel at Weiner Brodsky Kider, as they take a deep dive into recent regulatory activity around UDAAP and deceptive advertising and best practices for getting ahead of risk.

They discuss:

Problematic terms in marketing materials, such as “instant,” “free,” and “affordable”
The FDIC’s updated advertising rule and how it impacts both banks and non-banks
Best practices for ensuring transparent communication in marketing

Show Notes:

Top UDAAP Compliance Issues Across Marketing Content: https://content.performline.com/report/the-top-udaap-compliance-issues-across-published-content
FDIC’s Advertising Rule and Updates for Digital Marketing Materials: https://performline.com/blog-post/fdic-advertising-rule-updates-digital-marketing-materials/
Expert Insights on UDAAP and Deceptive Advertising, Part 1: https://performline.com/blog-post/episode-47-expert-insights-on-udaap-and-deceptive-advertising-pt-1/
Connect with John: https://www.linkedin.com/in/johnzanzarella/
Connect with Jonathan: https://www.linkedin.com/in/jonathan-pompan-43535935/
Connect with Brian: https://www.linkedin.com/in/brian-serafin-23297620/
Connect with Gianna: https://www.linkedin.com/in/gianna-kennedy/

Next Episode

Banking Industry Compliance Roundtable Recap Q3 2024

In this episode of the COMPLY Podcast, I sat down with my co-host Rhonda to debrief on our recent banking industry compliance roundtable and highlight key themes and takeaways from the event.

Discussion points include:

Social media compliance for mortgage and loan officers
Insights on the compliance review process of marketing materials
Best practices for bank-fintech partnerships and marketing compliance
Common BSA/AML challenges for fintechs

Show Notes:

Streamline Compliance Review with PerformLine’s Document Review: https://performline.com/blog-post/streamline-compliance-review-with-performlines-document-review/
The Compliance Checklist for Bank-Fintech Partnerships and BaaS Providers: https://content.performline.com/compliance-checklist-bank-fintech-partnerships-baas-providers
Upcoming Events: https://events.performline.com/upcoming-events
Connect with Rhonda: https://www.linkedin.com/in/rhonda-mcgill/
Connect with Gianna: https://www.linkedin.com/in/gianna-kennedy/

COMPLY: The Marketing Compliance Podcast - Staying Ahead of Compliance with Insights from Sandhya Brown

Transcript

Rhonda:
Hey there COMPLY Podcast listeners and welcome to this week’s episode. This week we’re going to hear from Sandhya Brown, Assistant Director in the Division of Financial Protections at the FTC. Sandhya is one of our most requested speakers at our client workshops and was this years keynote speaker where she shared her perspective on what’s been happening at the FTC, as well as some of her thoughts on considerations that compliance professionals in the financial