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Self-Assessment & Regulatory Compliance Review

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Self-Assessment and Regulatory Compliance Review is more than a compliance manual. It contains additional elements that, in addition to the manual, provide useful tools for maintaining compliance. These tools include:

•  A risk-based operational checklist for each regulation
•  A risk-assessment matrix to assist you in identifying your level of compliance risk, and
•  A calendar of regulatory events

The operational checklists allow you to perform an assessment of your degree of compliance with each regulation. They are provided in a format that allows you to perform this assessment from a management perspective by looking at the operations of the institution. Checklists are in a form that can easily be modified to reflect the size, location, products and services of individual financial institutions.

With regular updates, this manual allows you to look at your institution through the perspective of an examiner.

The eBook versions of this title feature links to Lexis Advance for further legal research options.

Subscribers will receive a downloadable file containing editable forms.

Editable Documents

The publication subscription includes downloadable files delivered through the LexisNexis® Store download center. The downloadable files include the following features:

•  The entire publication is provided in a Folio infobase, offering a robust search engine and the ability to jump from one search match to the next through the entire publication. The Table of Contents for the entire publication can be viewed side-by-side with the text.

•  Editable Microsoft® Word files are included in the Folio infobase and can be downloaded and customized. The Word files are fully formatted and will be updated to reflect changes made in corresponding text sections of the publication. Word files are provided for a variety of documents, including exhibits, checklists, sample policies, sample procedures, sample audits, questionnaires, and model forms.

This publication includes editable Word files for the following documents:

No.                             Title
Checklist 1.1              Deposit Account Restrictions
Checklist 2.1              Deposit Insurance Signs and Advertisements
Checklist 3.1              Electronic Fund Transfer Act (12 CFR 1005)
Checklist 4.1              Truth-in-Savings
Checklist 5.1              Expedited Funds Availability Act
Checklist 6.1              Regulation B
Checklist 7.1              Regulation Z
Checklist 8.1              Credit Practices Rule
Checklist 8A.1           Fair Debt Collection Practices Act
Checklist 9.1              Fair Credit Reporting Act
Checklist 10.1            Insider Lending Restrictions
Checklist 11.1            HMDA
Checklist 12.1            Real Estate Settlement Procedures Act
Checklist 12A.1         Homeownership Counseling and SCRA
Checklist 13.1            Flood Disaster Protection Act
Checklist 14.1            Regulation U
Checklist 15.1            PMI Cancellation/Disclosures
Checklist 15A.1         The SAFE Act Initial Registrations
Checklist 16.1            BSA Compliance
Checklist 17.1            OFAC Restrictions
Checklist 18.1            Community Reinvestment Act
Checklist 19.1            GLBA Section 501(b) Compliance
Checklist 20.1            Electronic Signatures and Disclosures
Checklist 21.1            Right to Financial Privacy Act
Checklist 22.1            Insurance Sales
Checklist 23.1            Servicemembers Civil Relief Act

Authors / Contributors

Table of Contents

Summary Table of Contents

VOLUME 1

RISK ASSESSMENT

2013-2014 Compliance Calendar

Compliance Risk-Assessment Matrix

DEPOSITS

Chapter 1 Deposit Account Restrictions — Reserve Requirements

Chapter 2 Deposit Insurance Signs and Advertisements

Chapter 3 The Electronic Fund Transfer Act (EFTA) — Regulation E

Chapter 3A Regulation II — Debit Card Interchange Fees and Routing

Chapter 4 Regulation DD — Truth-in-Savings

Chapter 5 Regulation CC — Availability of Funds and Collection of Checks

LOANS

Chapter 6 Regulation B — Equal Credit Opportunity

Chapter 7 Regulation Z — Truth-in-Lending Act

Chapter 8 Credit Practices Rule

Chapter 8A Fair Debt Collection Practices Act

Chapter 9 Fair Credit Reporting Act

VOLUME 2

Chapter 10 Regulation O — Insider Lending Restrictions

Chapter 11 Regulation C — Home Mortgage Disclosure

Chapter 12 Real Estate Settlement Procedures Act (RESPA)

Chapter 12A Homeownership Counseling and SCRA Notice

Chapter 13 Flood Disaster Protection Act

Chapter 14 Regulation U — Loans to Purchase or Carry Margin Stock

Chapter 15 Homeowners Protection Act of 1998

Chapter 15A Regulation G — The SAFE Act Federal Restriction

GENERAL APPLICABILITY

Chapter 16 Bank Secrecy Act

Chapter 17 OFAC Restrictions

Chapter 18 Community Reinvestment Act

Chapter 19 Privacy

Chapter 19A Information Security Requirements

Chapter 20 Electronic Signatures and Disclosures — The “E-Sign Act ” and Related Regulations

Chapter 21 Right to Financial Privacy Act

Chapter 22 Consumer Protections for Sales of Insurance

Chapter 23 Servicemembers Civil Relief Act

Chapter 24 Regulation W Affiliate Transaction Restrictions...