Latest Compliance - Risk Assessment/Risk Management Topics

UDAAP training

04/30/2017

Does my staff have to receive annual UDAAP training?

If a consumer customer calls us and complains that although he revoked his authorization with a company transactions have continued to post. Despite his complaint, the customer is unwilling to complete a written statement of unauthorized debit Can we just close the investigation and refuse to give the consumer his money back?

Mitigating UDAAP risk

04/23/2017

Since UDAAP could occur anywhere, how do I prevent UDAAP occurrences?

UDAAP avoidance starts with prep

04/09/2017

Do you have any advice about preparing for our next exam in light of the regulatory emphasis on UDAAP?

Servicing a loan in an NFIP-suspended community

03/05/2017

Are loans that your financial institution has on the books still serviceable loans if the community becomes suspended from the NFIP?

NFIP withdrawal and lending

03/05/2017

What happens to our ability to make building-secured loans if a community decides to withdraw from the NFIP?

Substitute check disclosure

02/26/2017

Do we give a substitute check disclosure at new accounts?

Signing a consent order

01/29/2017

Is a financial institution required to sign a consent order?

Returns in the ACH Network

01/15/2017

Do the ACH Rules cover every type of situation where a customer wants to return an entry?

TCPA penalties and updates

12/11/2016

Is the Telephone Consumer Protection Act even an issue today?

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

Website Change Management

12/03/2023

We currently keep both electronic copies and paper copies of every change made on our website. This is time-consuming to maintain. How critical is it to keep hard copies of our work, and what questions should we be asking ourselves to potentially reduce or eliminate unnecessary paper trails?

Latest Compliance - Risk Assessment/Risk Management Topics

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