Vendor Guru Q&A - Compliance

Latest Compliance - Audit Topics

Solving Common Violations

06/01/2001

Reg X: RESPA

3500.7(a): Timely delivery of GFE

Privacy: Practical Tips for Implementing Privacy

04/01/2001

At BAI's ACE 2001 Conference (Audit, Compliance, Electronic Security), two bankers gave some practical tips on implementing the new privacy requirements.

Train Yourself to Give an Effective Board Presentation

04/01/2001

It is one of your toughest responsibilities. You have ten minutes or less to tell the board of directors about a compliance problem or a compliance program need.

Update on Student Loan Record Retention

03/19/2001

Do you have any further information regarding record retention .requirements on student loans?

Record Retention Requirements For Student Loans

03/05/2001

What are the record retention requirements for a consumer loan (private student loan) associated with proof of the loan disbursement?

Guidelines For Offering Electronic Banking Services

03/05/2001

We are considering the creation of a Web page and the offering of electronic banking services to our customers. Do you have any guidelines or a checklist of the items we should be taking into consideration? I am concerned that we are overlooking some basic items as we move into this new type of products.

Marketing "Don'ts"

02/05/2001

Do you have any "Never do this!" type items for bank marketers? I have been in marketing at other companies, but this is my first time at a bank and I'm wondering if there are some types of campaigns that just don't work well.

Privacy Implementation Check-Up

02/01/2001

FDIC's Privacy Implementation Guide (FIL 2001-3) contains materials that every bank should use.

Predatory Lending: Unfair & Unsound

02/01/2001

The agencies have spoken on the topic of subprime lending.

This Week's Featured BOL Technology Guru QuestionMonitoring an Online Banking Web Site

01/02/2001

Can you refer me to anything that would assist me in knowing what should be performed for monitoring our online banking Web site? I've been through bank security seminars that cover non-technology security. Our external auditor was not able to assist us.

Compliance hot buttons in 2022

01/15/2023

If Sect 1071 is a year away, why worry about it now?

Compliance hot buttons in 2023

01/08/2023

What might be the biggest “gotcha” rule in 2022?

Auditing ACH

01/01/2023

I am completing an ACH Audit and am stuck on Article One section 1.6. It states each non-consumer originator, participating DFI, Third-Party Service Provider, and Third-Party sender must establish, implement, and update, as appropriate, polices, procedures, and systems with respect to the initiation, processing, and storage of entries. What does the storage of the entries entail? It's not addressed in any of our policies and I am not sure what it should say.

Does a regulation’s Official Interpretation carry the same authority as the regulation itself?

01/01/2023

Do Official Interpretations in regulations carry the force of law?

I don’t need to know banking law, do I?!

12/25/2022

Why do I need to know what actual bank laws say – I can just stick to the regulation, right? Isn’t the law for attorneys to read?

Latest Compliance - Audit Topics

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