Compliance Examinations Update for Financial Institutions

Provides clear explanations, requirements, key statutes, regulations and guidance for application. Practical examples and solutions based on actual cases that pertain to the key statute or regulation in question and explanations of the techniques used by examiners to determine violations. Great for a seasoned veteran but also an excellent training tool for new compliance officers.
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ISBN: 9780769879383
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Book Edition: 20-3

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Real-world scenarios reveal compliance pitfalls in Compliance Examinations Update for Financial Institutions. Case studies give you tips for avoiding common violations of federal consumer protection laws and regulations and guidance for correcting potential violations.

The Update is written in a straightforward, user-friendly style that transforms difficult-to-understand compliance regulations into clear and concise explanations. It discusses liabilities, corrective action, civil liabilities, and available cure techniques.

Compliance Examinations Update reports on institutions’ liabilities for noncompliance, makes you aware of the consequences, and specifies what it takes to put the bank back in compliance. It’s unique in that each article is presented as a case study covering an important compliance issue.

Compliance Examinations Update provides you with:

•  Clear explanations of the precise requirements of key statutes and regulations and what you have to do to comply with them.
•  Practical examples and solutions based on actual cases that pertain to the key statute or regulation in question.
•  Explanations of the techniques used by examiners to determine violations, which enables you to discover possible violations before the examiners do.
•  References to primary source materials.

Subscribers will receive a downloadable file containing editable forms

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Table of Contents


Compliance Management Issues

Chapter 1: Compliance Management Issues


Chapter 2: Truth-in-Lending — General

Chapter 3: Truth-in-Lending — Closed End

Chapter 4: Truth-in-Lending — Open End


Chapter 5: Discrimination — General

Equal Credit Opportunity Act

Chapter 6: Equal Credit Opportunity Act

Residential Real Estate Lending

Chapter 7: Residential Real Estate Lending

Community Reinvestment Act

Chapter 8: Community Reinvestment Act

Deposit Accounts

Chapter 9: Deposit Accounts


Chapter 10: Truth-in-Savings

Home Mortgage Disclosure Act

Chapter 11: Home Mortgage Disclosure Act

BSA/Anti-Money Laundering

Chapter 12: BSA/Anti-Money Laundering

Electronic Fund Transfer

Chapter 13: Electronic Fund Transfer

Financial Privacy

Chapter 14: Financial Privacy


Electronic Payments and Checks

Chapter 15: Electronic Payments and Checks


Chapter 16: E-Banking

Unfair, Deceptive, or Abusive Acts and Practices (UDAAP)

Chapter 17: Unfair, Deceptive, or Abusive Acts and Practices (UDAAP)

Interest Rate Regulation

Chapter 18: Interest Rate Regulation

Nondeposit Investment Products

Chapter 19: Nondeposit Investment Products

Bank Management

Chapter 20: Bank Management — Lending Limits

Chapter 21: Bank Management — Insider Transaction

Chapter 22: Bank Management — Affiliate Relationships

Chapter 23: Bank Management — Capital Adequacy

Chapter 24: Bank Management — Branching and Interstate Banking

Chapter 25: Bank Management — Bank Investments

Chapter 26: Bank Management — Bank Powers

Chapter 27: Bank Management — Board of Directors

Chapter 28: Bank Management — Safety and Soundness

Chapter 29: Bank Management — Reserve Requirements

Other Laws and Regulations

Chapter 30: Other Laws and Regulations