Articles

California Mortgage Finance News – Regulatory/Compliance Outlook

Chris Ortigara, participating in this roundtable article, reflects on MSAs, challenges facing the mortgage industry and what lenders can do to better protect their data and information.


Articles

Effective Partnerships Between Banks and Marketplace Lenders – Managing Third-Party Risk

Jim Shankle and Chris Ortigara discuss the three critical components of successfully managing third-party risk of fintechs.


Articles

Compliance Management – Working Smarter

Liza Warner discusses best practices for managing the compliance function in this article published in ABA Bank Compliance.


Past Speaking Engagements

California Mortgage Bankers Association (California MBA) Western States Loan Servicing and Technology Conference

Jim Shankle, managing director in the Regulatory Compliance and Internal Audit practices, spoke on the servicing compliance panel at this conference which took place August 6-8th in San Diego, CA. Servicing related articles can be found in the Related Resources section of Regulatory Compliance.


Articles

What Is Your Time Worth?

In Mortgage Compliance Magazine, Todd Krell discusses how you can have a more effective quality assurance program.


Articles

California Mortgage Finance – Unprecedented Times Call for Unprecedented Leadership, Advice for General Counsel from General Counsel

Monika McCarthy shares the advice of General Counsel colleagues on the challenges impacting the mortgage industry in this article published in California Mortgage Finance News. Learn more about how to better navigate this year’s risks.


Articles

ABA Bank Compliance – Best Practices for Managing the Consumer Complaint Program

Liza Warner discusses best practices for the consumer complaint management program in this article published in ABA Bank Compliance. Learn more about how banks can more effectively meet their strategic business objectives and manage regulatory risk. Update: The ABA announced in the September-October 2018 issue that Liza had won the prestigious APEX writing award for this… Read more »


Articles

Preparing for CFPB Servicing Exams, Avoiding Common Mistakes With Servicing Transfers and Private Mortgage Insurance

Jim Shankle and Chris Ortigara discuss preparing for CFPB servicing exams in this article published in Mortgage Compliance Magazine. Learn more about avoiding common mistakes with servicing transfers and private mortgage insurance.


Articles

ABA Bank Compliance – Compliance in 3D, The Second Line of Defense, Are the Stars Aligned?

Liza Warner discusses best practices for managing the second and third lines of defense in two articles published in ABA Bank Compliance Journal. Learn how to better protect your organization against risks in the compliance process.


Articles

Are you integrating TRID Into Your Quality Control Process?

Todd Krell and Chris Ortigara discuss the considerations regarding implementing TRID into your QC process. This article can also be found in the Summer Issue of California Mortgage Finance News published by the California Mortgage Bankers Association.


Articles

Best Practices for Establishing a Cost-Effective Internal Audit Function

Heidi Wier discusses best practices for establishing a cost-effective internal audit function. Learn how to implement internal audit in a mortgage environment.


White Papers

Why Mortgage Companies Should Embrace Internal Audit

The heightened regulatory focus on the mortgage industry is driving public and non-public mortgage companies to enhance their corporate governance structures by implementing effective internal audit functions.


Articles

Internal Audit, Where Does It Fit in the Compliance Puzzle?

Chris Ortigara and Jim Shankle discuss internal audit for mortgage bankers in Mortgage Compliance Magazine. Learn how internal audit fits in the compliance puzzle.