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The COMPLY Podcast showcases trailblazers in the financial services and compliance space. Each episode dives deep into the challenges, triumphs, and innovations of executives at top banks, fintechs, and enterprise organizations.
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Financial Industry Regulatory Authority
April 20, 2026
FINRA Strengthens External Relations Leadership with Two Senior Appointments
WASHINGTON—FINRA announced today two key additions to our senior leadership team to enhance engagement with regulators, policymakers, industry stakeholders and the media.
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Federal Trade Commission
April 20, 2026
Court Orders Operator of Timeshare Exit Scheme to Pay $140 Million Related to FTC Allegations the Scheme Took Millions from Consumers
Following an investigation by the Federal Trade Commission, a federal court has ordered one of the key operators of a timeshare exit operation to pay $140 million and has permanently banned him from marketing similar services in the future over allegations the scheme defrauded consumers—mostly older adults—out of more than $90 million.
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Resource
April 17, 2026
OCC Issues Updated Model Risk Management Guidance
The Office of the Comptroller of the Currency (OCC) today, in coordination with the Board of Governors of the Federal Reserve System (Federal Reserve Board) and the Federal Deposit Insurance Corporation (FDIC), issued updated model risk management guidance for OCC-supervised institutions. These actions build upon the OCC's ongoing efforts to tailor its supervisory framework to reduce unnecessary burden and promote risk-based examination across institutions of all sizes.