Elements of a Successful Compliance Management System and Vendor Management Rules of the Road
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1 Elements of a Successful Compliance Management System and Vendor Management Rules of the Road Jonathan L. Pompan Partner, Venable LLP jlpompan@venable.com Katherine M. Lamberth Associate, Venable LLP kmlamberth@venable.com
2 Legal Disclaimer Any content included in this presentation or discussed during this session ( Content ) is presented for educational and general reference purposes only. Content is provided as a courtesy to be used for informational purposes only. The Content is not intended to serve as legal or other advice. Venable LLP does not represent or warrant that the Content is accurate, complete or current for any specific or particular purpose or application. This information is not intended to be a full and exhaustive explanation of the law in any area, nor should it be used to replace the advice of your own legal counsel. The views and opinions of the speakers expressed herein are solely those of the presenters and not Venable LLP or its clients. ATTORNEY ADVERTISING.
3 What is a Compliance Management System (CMS)? According to the CFPB, a robust and effective compliance management system is a critical component of the structure of an organization. The CFPB defines a CMS by having four interdependent control components: board and management oversight, compliance program, response to consumer complaints, and compliance audit.
4 Why is a CMS Important? Helps to manage risk Changing product and service offerings New legislation, regulation, interpretations, court decisions that address developments in the marketplace and are relevant to the product and service offerings of the organization Noncompliance with consumer protection laws may result in: Litigation, monetary penalties, and other formal enforcement actions; and reputation risk
5 Board and Management Oversight Compliance with law and regulation managed as an integral part of any lender s or service provider s strategy. The board of directors and management recognize the scope and implications of laws and regulations that apply to their organization. Establish a compliance management system that not only protects the organization, but also uses resources effectively and minimizes disruptions in daily activities.
6 Compliance Program Elements: Policies and Procedures (subject to regular review and update) Training board, management, and staff Monitoring proactive approach and regular reviews Prevent or reduce regulatory violations, provide cost efficiencies, and sound business practices
7 Consumer Complaint Response Composed of two separate prongs: 1. Consumer complaints are appropriately captured (i.e., categorized as complaints, regardless of source), resolved, and escalated as appropriate 2. Consumer complaints are evaluated to identify weakness in compliance management or other systemic issues If systemic issues are present, may adjust business as a result
8 Compliance Audit A compliance audit is an independent review of an institution s compliance with consumer protection laws and regulations and adherence to internal policies and procedures. The audit helps management ensure ongoing compliance and identify compliance risk conditions. It complements the institution s internal monitoring system. The Board should determine the scope of an audit, and the frequency with which audits are conducted. All aspects of an audit should be documented, including scope, identified gaps, and remediation or other corrective action.
9 What does the CFPB / States Expect?
10 Questions Every Vendor Needs to be Able to Answer Do you have any past or present legal action(s), administrative investigations, etc. ( legal actions ) or threatened legal actions? Does your company have a formal compliance management system? Does your company have all required licenses, registrations, etc.? Describe your employee incentive programs? Do you have a complaint handling program? Describe your privacy and data security program? Have you had any breaches?
11 Thank you - Questions Katherine M. Lamberth Venable LLP kmlamberth@venable.com Jonathan L. Pompan Venable LLP jlpompan@venable.com To view Venable s index of articles and presentations on related legal topics, see
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