Vendor Guru Q&A - Compliance

Latest Compliance - Tools Topics

Compliance program resources

08/01/2001

Question: What resources should I have for my compliance program? I'm new at this and have a limited budget.

Smothering The Best In Consumers

07/01/2001

It is very difficult to sit quietly at a Consumer Advisory Council meeting. It is tempting to share one's own ideas.

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.

Reg X: The Truth Is NOT Out There!

04/01/2001

Word is leaking out that all of the bank regulatory agencies are now taking a strong and active stand on RESPA violations. This means two things.

Fair Lending, ECOA et al.

01/01/2000

Fair lending has reared its head more than once in the 1900's and promises to be a front burner topic in the coming decade. In the 1990's, fair lending enforcement has reached an all time high.

The New Privacy Law

11/01/1999

The new banking law contains several provisions related to customer privacy. First, the act requires financial institutions to have a privacy policy.

Compliance actions when violations are found

04/21/2024

What action steps are needed when we find a severe or frequent violation?

Procedures for Claims to Funds

04/21/2024

We received a "Notice of Freeze" from the Florida Department of Revenue on one of our customers. Is there a set procedure for handling such notices from a state authority or do they differ by bank and or the state the bank or the customer is in? Would this procedure be the same for an action from a governmental entity as from a private action like an unpaid debt?

Latest Compliance - Tools Topics

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