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Latest Compliance - Operations Topics

Compliance officers: Reporting to the Board

07/02/2017

Board reporting is always an issue. What guidance will you offer?

Violations of Law and Consumer Harm

06/25/2017

What are the assessment factors associated with the Violations of Laws and Consumer Harm category?

Putting the RIGHT people on your Compliance Committee

06/25/2017

Why can’t the compliance Ooficer manage compliance alone and is this unique to a big or small bank environment?

Who should be “doing” compliance in your bank?

06/18/2017

What does the Compliance Officer have to do in his or her role?

The role of the Compliance Officer

06/11/2017

If the board is ultimately responsible for compliance, what is the compliance officer’s role?

Our accounts play by our rules

06/11/2017

The customer, who was born and raised just down the street from our bank, refuses to provide his Social Security number. What should we do?

Keeping policies and procedures current

06/04/2017

How often should we approve our policies and procedures?

Seek-and-Find: Looking for FCRA Provisions

06/04/2017

Where can I find all provisions required by the Fair Credit Reporting Act?

Accuracy and Integrity Policy/Procedure Requirements

05/28/2017

Does my financial institution have to have policies and procedures regarding accuracy and integrity of furnished information provided to CRA’s?

Primary Concepts of Compliance Audit and Compliance Monitoring

05/28/2017

From a conceptual approach basis, can you explain the primary difference between compliance monitoring and auditing?

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Vendor Guru Q&A's - Compliance

Compliance tiers for Dodd-Frank Section 1071

Data privacy & Section 1071

Batch processing vs. transaction level processing for deposits automation

Section 1071

Exception management and better audits

Resolving credit and loan document exceptions

Proactive loan exception management

Tracking loan policy exceptions

Reasons for loan policy exceptions

Audits and document management

Most Popular Compliance Content

Waiting on MC or V to finish Reg E claim

05/28/2023

Can we as the bank deny a claim and wait for a resolution from Mastercard/Visa that exceeds the 90 day time frame due to it being in arbitration and then credit the consumer at a later date if we received the credit after the 90 day reg E time frame?

Witholding Bank Statements

05/28/2023

Is it possible to suppress the final bank statements for ID Theft accounts? Regulation E does not state any exception under it nor are there any regulations against it.

I like banking and want to learn where my skills are best suited. Where can I learn more?

05/21/2023

I’ve been in banking for a little while now and have found I really enjoy it. What I thought would be a short-term job is looking more and more like a viable long-term career choice. There are so many options though – banking covers so many topics! Is there anywhere I can find more general information, to see what interests me the most?

Fraud and unauthorized - Reg E

05/21/2023

What is the difference between unauthorized vs fraud? To clarify I do not mean fraud but other consumer complaints. - Thanks!

Looking for a good introductory course covering overall bank compliance?

05/14/2023

Can you recommend a good bank compliance overview course? We would like to give new hires a summary of the overall rules they will face as bank employees.

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