Compliance Tools

CRA Codes for Small Business Loans

01/15/2005

CRA File codes for FFIEC reporting

Anti-Money Laundering Policy (sample)

01/15/2005

Starter template for a BSA/AML policy.

Internal Audit Risk Assessment

01/15/2005

A risk assessment model that would be used to assist with the audit scheduling with input from Audit/Compliance and management.

PMI Notice Language

01/15/2005

PMI notice language - suggested language for the annual PMI notices for loans originated after 7/99

314(a) "What to Search" Cheat Sheet

01/15/2005

Cheat sheet on areas to review for 314(a) inquiries.

314(a) Documentation Spreadsheet

01/15/2005

This spreadsheet outlines the seven areas which must searched in connection with processing Section 314(a) search requests from FinCEN.

Alien Identification Procedures

01/15/2005

Information for proper identification of alien customers and risk assessment data relating to lending to aliens.

Flood Insurance Wallpaper

01/15/2005

Computer screen flood "wallpaper."

Business Debit Card Agreement

01/15/2005

Sample Business Debit Card Agreement.

Reg O Compliance

01/15/2005

Reg O flowchart and Related Interest worksheet.

Regulation B - Required Signatures

01/15/2005

This flow chart helps make clear whose signature you can require on what documents under the Equal Credit Opportunity Act.We prepared it based upon a chart developed by the Philadelphia Federal Res

Release of Claim Forms

01/15/2005

Release of liability forms when claims are withdrawn for a Reg E error or forgery.

BOLlywood Squares

01/15/2005

BSA/OFAC/Privacy/InfoSec training games for various staff levels in the bank.

Bank of Blunders

01/15/2005

This is a role-playing game for compliance training.

Lobby Notice Requirements Chart

01/15/2005

Chart of required lobby signage.

A Guide to Bank Compliance Research

01/15/2005

A primer on regulatory research.

Fair Lending Worksheet - Georgia

01/15/2005

Georgia specific differences between a finance charge and points/fees.

I.D. Theft Procedures and Customer Claim Form

01/15/2005

Identity theft procedures and claim forms.

Dormant Accounts Audit Program

01/15/2005

A 10-step Dormant Account audit list.

SKIPO Training Game

01/15/2005

A compliance training game, SKIPO Jeopardy is used to train staff on Suspicious Activity, Know Your Customer, Information Security, Privacy/Identity Theft, and OFAC.