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Compliance Monitoring Program for State Non-Member Banks

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Get Everything You Need to Monitor Compliance Throughout Your Bank — Tailored to the FDIC’s Requirements!

FDIC examiners are paying more attention to the quality and scope of compliance monitoring. You need to have the right tools to satisfy the FDIC’s expectations for ongoing compliance monitoring, prepare for your next compliance exam, and satisfy the latest risk management requirements on compliance more efficiently and safely.

•  Tailored to meet the regulatory and examination requirements of the FDIC.
•  Focused on state non-member banks, so you don’t need to spend time narrowing broad-based instructions to your needs.
•  Gives you everything you need in one convenient resource so you don’t waste time developing checklists and worksheets for each department or division.
•  Includes a complete internal compliance monitoring program broken down into reviews by law, regulation, and ruling.
•  Product/service guidelines refer you to all the regs and rulings that apply to lending products, deposit and nondeposit products, and to all the events that trigger specific regulations.
•  Sample work papers can be easily adapted to your needs, including a compliance monitoring schedule, risk sampling grids, a memo of request, and an internal review checklist.
•  Includes easily adapted example procedures, worksheets, and checklists for each regulation, law, or ruling.
•  Gives you monitoring procedures, worksheets, and checklists for all the lending products. Regulations and sections of regulations are grouped under the specific lending products they affect, and everything is organized into internal review programs for those products.

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
A1.09.1         BLANK STATE NON-MEMBER BANK COMPLIANCE TESTING SCHEDULE (For Reviews Performed by Law, Regulation, or Ruling)
A1.10.1         BLANK STATE NON-MEMBER BANK COMPLIANCE TESTING SCHEDULE — FOR LENDING REVIEWS PERFORMED BY PRODUCT, AND REMAINING REVIEWS PERFORMED BY LAW, REGULATION, AND RULING
A1.06.1         BLANK STATE NON-MEMBER BANK COMPLIANCE TESTING SCHEDULE (For Lending Reviews Performed by Product and Remaining Reviews Performed by Law, Regulation, or Ruling)
A3.07.1         State Non-Member Bank Regulatory Risk Sampling Grid (For Lending Reviews Performed by Product and Remaining Reviews Performed by Law, Regulation, and Ruling)
A3.10.1         EXHIBIT A Product and Services Profile
A3.10.2         EXHIBIT B Product and Services Profile
A3.10.3         EXHIBIT C Product and Services Profile
A3.12            State Non-Member Bank Regulatory Risk Sampling Grid (For Reviews Performed by Law, Regulation, and Ruling)
A5.02            Internal Compliance Review Checklist
B1.02.A        Equal Credit Opportunity Act Procedures
B1.02.1          Policy and Procedures Review Checklist
B1.02.2          Applicable Forms and Documentation Review Checklist
B1.02.3          Adverse Action Consumer-Purpose Credit Form Checklist
B1.02.4          Adverse Action Business-Purpose Credit Form Checklist — I
B1.02.5          Adverse Action Business-Purpose Credit Form Checklist — II
B1.02.6          Application Review Checklist
B1.03.1          Fair Housing Act Procedures
B1.03.2          Policy and Procedures Review Checklist
B1.03.3          Applicable Forms and Documentation Review Checklist
B1.03.4         Fair Housing Act Checklist
B1.03.5          Fair Housing Act Advertising Checklist
B1.04.1          Self-Evaluation of the Fair Housing Act and Equal Credit Opportunity Act Procedures
B1.04.2          Loan Officer Interview Checklist
B1.04.3          Attachment A File Checklist
B1.04.4          Attachment B Comparative Analysis Grid
B1.04.5          Attachment C Sample Comparative Analysis Grid
B1.04.6         Attachment D Comparative Analysis Side-by-Side Table
B1.04.7          Attachment E Sample Comparative Analysis Side-by-Side Table
B1.04.8          Fair Lending Checklist
B1.04.9          Residential Real Estate Mortgage Lending Checklist
B1.04.10       Small Business Lending Checklist
B1.04.11       Subprime Lending Checklist
B1.04.12       Predatory Lending Checklist
B2.02.1          Community Reinvestment Act Procedures
B2.02.2          Small Retail Institution CRA Policies and Procedures Checklist (Assets Less Than $305 Million)
B2.02.3          Intermediate Small Retail Institution CRA Policies and Procedures Checklist (Assets More Than $305 Million, Less Than $1.221 Billion)
B2.02.4          Large Retail Institutions CRA Policies and Procedures Checklist (Assets More Than $1.221 Billion)
B2.02.5          Limited Purpose and Wholesale Institution CRA Policies and Procedures Checklist
B2.02.6          Strategic Plan CRA Checklist
B2.02.7          Revised Interagency Questions and Answers Policies and Procedures Checklist
B2.02.8          CRA Forms and Documentation Review Checklist
B2.02.9          Specific File Documentation Review Checklist
B2.02.10       Gramm-Leach-Bliley Act of 1999 Checklist
B2.03.1          Home Mortgage Disclosure Act Procedures
B2.03.2          HMDA Policies and Procedures Review Checklist
B2.03.3          LAR and Supporting Documentation Form Review Checklist
B2.03.4         HMDA File Review Checklist
B3.02A         Truth-in-Lending Act Procedures
B3.02A.1      Truth-in-Lending Act Policy Review Checklist
B3.02A.4      Closed-End Credit Checklist
B3.02A.5      Closed-End Credit: Variable Rate Disclosures Checklist — I
B3.02A.6      Closed-End Credit: Variable Rate Disclosures Checklist — II
B3.02A.7      Variable Rate Subsequent Disclosures Checklist
B3.02A.8      Right of Rescission Notice Checklist
B3.02A.9      Home Equity Line of Credit Review Checklist
B3.02A.10    Open-End Credit Checklist
B3.02A.11    Credit Card Disclosures Review Checklist
B3.02A.12    Open-End Credit: Periodic Billing Statement Checklist
B3.02A.13    Construction Loan Disclosures Review Checklist
B3.02A.14    Reverse Mortgage Checklist
B3.02A.15    Adjustable Rate Mortgage Review Checklist
B3.02A.16    High-Cost Mortgage Disclosure Checklist
B3.02A.17    Truth-in-Lending Act Advertising Checklist
B3.02A.20    Closed-End Credit Worksheet
B3.02A.21    Closed-End Credit: Variable Rate Disclosures Worksheet — I
B3.02A.22    Closed-End Credit: Variable Rate Disclosures Worksheet — II
B3.02A.23    Variable Rate Subsequent Disclosures Worksheet
B3.02A.24    Right of Rescission Notice Worksheet
B3.02A.25    Home Equity Line of Credit Worksheet
B3.02A.26    Open-End Credit Checklist
B3.02A.27    Credit Card Disclosures Review Checklist
B3.02A.28    Open-End Credit: Periodic Billing Statement Checklist
B3.02A.29    Construction Loan Worksheet
B3.02A.30    High Cost Mortgage Worksheet
B3.02A.31    Reverse Mortgage Worksheet
B3.02A.32    Adjustable Rate Mortgage Review Worksheet
B3.02B         Truth-in-Lending Act Procedures (reflective of Truth-in-Lending/RESPA Integrated Disclosure Requirements)
B3.02B.1      TIL-RESPA Integrated Disclosure Policy Review Checklist
B3.02B.2      TIL-RESPA Integrated Disclosure Form Review Checklist
B3.02B.3      TIL-RESPA Integrated Disclosure File Review Checklist
B4.01.1          Flood Disaster Protection Act Loans in Areas Having Special Flood Hazards Procedures
B4.01.2          Flood Disaster Protection Act Policy and Procedures Review
B4.01.3          Flood Disaster Protection Act Forms/Document Review
B4.01.4          Flood Disaster Protection Act File Review Worksheet
B4.02.1          Real Estate Settlement Procedures Act Procedures
B4.02.2          Real Estate Settlement Procedures Act Policy and Procedures Questionnaire
B4.02.4          Purchase Money Mortgage Forms Worksheet
B4.02.5          Refinanced Mortgages Forms Worksheet
B4.02.6          Home Equity Lines of Credit Forms Worksheet
B4.02.8          Purchase Money Mortgages Worksheet
B4.02.9          Refinanced Mortgages Worksheet
B4.02.10       Home Equity Lines of Credit Worksheet
B4.02.11       Non-Purchase Money First Lien Mortgages Worksheet
B4.02.12       Non-Purchase Money Subordinate Lien Transactions and Reverse Mortgages Worksheet
B4.02.13       Escrow Account Review Worksheet
B4.02.14       Error Resolution Review Worksheet
B4.02.15       Requests for Information Review Worksheet
B4.03.1          Electronic Funds Transfer Act Procedures
B4.03.2          Electronic Funds Transfer Act Policy and Procedures Questionnaire
B4.03.4         Initial Disclosure
B4.03.5          Change in Terms; Error Resolution Notice
B4.03.6          Receipts at Electronic Terminals; Periodic Statements
B4.03.7          Preauthorized Transfers Forms
B4.03.8          EFT Service Providers Notice
B4.03.9          Account-Holding Institution Disclosures
B4.03.10       Remittance Transfer Disclosures Worksheet
B4.03.11       Electronic Funds Transfer Act File Review Worksheet
B4.03.12       ATM Fee Review Checklist
B4.04.1          Right to Financial Privacy Act Procedures
B4.04.2          Right to Financial Privacy Act Policy and Procedures Questionnaire
B4.04.3          Right to Financial Privacy Act Form/Document Review
B4.04.4          Right to Financial Privacy Act File Review
B4.05.1          Fair Credit Reporting Act Procedures
B4.05.2          Fair Credit Reporting Act Fair and Accurate Credit Transaction Act Policy and Procedures Questionnaire
B4.05.3          Fair Credit Reporting Act Fair and Accurate Credit Transactions Act Form/Document Review
B4.05.4          Fair and Accurate Credit Transactions Act of 2003
B4.05.5          Affiliate Information-Sharing Notice
B4.05.6          Fair Credit Reporting Act Fair and Accurate Credit Transactions Act File Review Worksheet
B4.06.1          Fair Debt Collection Practices Act Procedures
B4.06.2          Fair Debt Collection Practices Act Policy and Procedures Questionnaire
B4.06.3          Fair Debt Collections Practices Act Form/Document Review
B4.06.4          Fair Debt Collections Practices Act File Review
B4.07.1          Unfair, Deceptive, or Abusive Acts or Practices Procedures
B4.07.2          Unfair, Deceptive, or Abusive Acts or Practices Policy and Procedures Questionnaire
B4.07.3          Unfair, Deceptive, or Abusive Acts or Practices Form/Document Review
B4.07.4          Unfair, Deceptive, or Abusive Acts or Practices File Review
B4.08.1          Homeowners Protection Act of 1998 Procedures
B4.08.2          Homeowners Protection Act of 1998 Policy and Procedures Questionnaire
B4.08.3          Homeowners Protection Act Form/Document Review
B4.08.4          Homeowners Protection Act File Review Worksheet
B4.09.1          Privacy of Consumer Financial Information Procedures
B4.09.2          Privacy of Consumer Financial Information Policy and Procedures Questionnaire
B4.09.3          Safeguards for Customer Information Security Policy and Procedures Questionnaire
B4.09.4          Instant Messaging Checklist
B4.09.5          Privacy of Consumer Financial Information Form/Document Review
B4.11.1          Children's Online Privacy Protection Act (COPPA) 15 USC 6501-6505
B4.11.2          Children's Online Privacy Protection Act (COPPA) Policy and Procedures Questionnaire
B4.12.1          Telephone Consumer Protection Act (TCPA) and the Junk Fax Prevention Act
B4.12.2          Telephone Consumer Protection Act and the Junk Fax Prevention Act Policy and Procedures Questionnaire
B4.13.1          Controlling the Assault of Non-Solicited Pornography and Marketing Act of 2003 (Can-Spam) 12 USC 1751
B4.13.2          Controlling the Assault of Non-Solicited Pornography and Marketing Act of 2003 (Can-Spam) Policy and Procedures Questionnaire
B4.14.1          Servicemembers Civil Relief Act (SCRA) Pub. L. 108-189
B4.14.2          Servicemembers Civil Relief Act (SCRA) Policy and Procedures Questionnaire
B4.14.3          Servicemembers Civil Relief Act Form Checklist
B4.14.4          Servicemembers Civil Relief Act (SCRA) File Review Worksheet
B4.15.1          Homeownership Counseling
B4.15.2          Homeownership Counseling Policies and Procedures Checklist
B4.15.3          Homeownership Counseling Forms Review Checklist
B4.15.4          Homeownership Counseling File Review Checklist
B4.16.1          Description of Law/Regulation/Ruling; Reference Regulation GG, Prohibition of Funding of Unlawful Internet Gambling
B4.16.2          Prohibition on Funding of Unlawful Internet Gambling Policy Checklist
B4.17.1          Secure and Fair Enforcement for Mortgage Licensing Act Procedures
B4.17.2          Secure and Fair Enforcement for Mortgage Licensing Act (SAFE Act) Policy and Procedures Questionnaire
B4.17.3          Secure and Fair Enforcement for Mortgage Licensing Act (SAFE Act) Forms Review
B4.17.4          Secure and Fair Enforcement for Mortgage Licensing Act (SAFE Act) File Review Worksheet
B4.18.1          Consumer Leasing Act Procedures
B4.18.2          Consumer Leasing Policies and Procedures Checklist
B4.18.3          Consumer Leasing Forms/Document Review Checklist
B4.18.4          Consumer Leasing File Documentation Review Checklist
B4.18.5          Consumer Leasing Advertising Checklist
B5.02.A        Expedited Funds Availability Act Procedures
B5.02.1          Expedited Funds Availability Act (Regulation CC) Policy and Procedures Checklist
B5.02.2          Expedited Funds Availability Act Form/Document Review Checklist
B5.02.3          Reg CC — Subpart D Substitute Checks Form Review Checklist
B5.02.4          Hold Notices Checklist
B5.02.5          Review of the Deposit System Checklist
B5.02.6          Review Handling of Check 21 Checklist
B5.03.A        Truth-in-Savings Act Procedures
B5.03.1          Truth-in-Savings Act (Regulation DD) Policy and Procedures Checklist
B5.03.2          Account Disclosure/Schedule Checklist
B5.03.3          Deposit Account Advertising Checklist
B5.03.4          Deposit Account Overdraft Protection Advertising Checklist
B5.03.5          Periodic Statement Checklist
B5.03.7          Time Account Notices Checklist (Maturity 1 Mo. > 1 Yr.)
B5.03.8          Time Account Notices Checklist (Maturity > 1 Yr.)
B5.03.9          Time Account Notices Checklist (Maturity > 1 Yr. Not Automatically Renewed)
B5.03.10       Overdraft Protection Statements Checklist
B5.04.A        Reserve Requirement of Depository Institutions Procedures
B5.04.1          Reserve Requirements and Interest on Deposits Policy and Procedures Checklist
B5.04.4          Reserve Requirements Checklist
B5.04.5          Interest on Deposits Checklist
B5.05.A        CONSUMER PROTECTIONS FOR DEPOSITORY INSTITUTION SALES OF INSURANCE PROCEDURES
B5.05.1         Consumer Protection for Insurance Sales (OCC-12 CFR 14) Policy and Procedures Checklist
B5.05.2          Disclosure Checklist
B5.05.3          Consumer Protection for Insurance Sales Transaction Checklist
B5.06.A        Escheatable Property Procedures
B5.06.1          Escheatable and Unclaimed Property Policy Checklist
B5.06.3          Escheatable and Unclaimed Property File Review Checklist
B6.02.A        Department of the Treasury's Financial Recordkeeping and Reporting of Currency and Foreign Transactions Minimum Security Devices and Procedures, Reports of Suspicious Activities, and Bank Secrecy Act Compliance Program Procedures
B6.02.1          BSA/AML Program Policy and Procedures Review
B6.02.2          CIP Worksheet
B6.02.3          CIP Customer Notice and Signage
B6.02.4          Customer Funds Transfer Worksheet
B6.02.5          Noncustomer Funds Transfer Worksheet
B6.02.6          Transmittal Orders Worksheet
B6.02.7          Monetary Instrument Worksheet
B6.02.8          OFAC Compliance Checklist
B6.02.9          Currency Transaction Monitoring Worksheet
B6.02.10       Currency Transaction Reporting (CTR) Review
B6.02.11       Exempt List Review
B6.02.12       Exemption List: Support Documentation Actual Filings
B6.02.13       Suspicious Activity Report (SAR) Documentation Review
B6.02.14       Suspicious Activity Report (SAR) Review Actual Filings
B6.02.15       Record Retention Review
B7.02.1          Loans to Executive Officers, Directors, and Principal Shareholders Procedures
B7.02.2          Loans to Executive Officers, Directors, and Principal Shareholders Policy and Procedures Checklist
B7.02.3          Loans to Executive Officers, Directors, and Principal Shareholders Forms/Document Review Checklist
B7.02.4          Loans to Executive Officers, Directors, and Principal Shareholders File Review Checklist
B7.03.1          Minimum Security Devices and Procedures, and Reports of Suspicious Activities Procedures
B7.03.2          Minimum Security Devices and Procedures/Suspicious Activity Reports Policies and Procedures Checklist
B7.03.3          Minimum Security Devices and Procedures/Suspicious Activity Reports Forms/Document Review Checklist
B7.03.4          Minimum Security Devices and Procedures/Suspicious Activity Reports File Review Checklist
B7.04.1          Extensions of Credit by Federal Reserve Banks Procedures
B7.04.2          xtensions of Credit by Federal Reserve Banks (Regulation A) Policies and Procedures Checklist
B7.04.4          Extensions of Credit by Federal Reserve Banks (Regulation A) File Review Checklist
B7.05.1          Collection of Checks and Other Items and Wire Transfer of Funds by Federal Reserve Banks Procedures
B7.05.2          Collection of Checks and Other Items and Wire Transfer of Funds by Federal Reserve Banks Regulation J (Subpart A) Policies and Procedures Checklist
B7.05.4          Collection of Checks and Other Items and Wire Transfer of Funds by Federal Reserve Banks (Regulation J) Document Review Checklist
B7.05.5          Rules That Govern Funds Transfers Through Fedwire Regulation J (Subpart B) Checklist
B7.06.1          Records to Be Made and Retained by Financial Institutions Procedures
B7.06.2          Records to Be Made and Retained by Financial Institutions Policies and Procedures Checklist
B7.06.3          Records to Be Made and Retained by Financial Institutions Document Review Checklist
B7.07.1          Reimbursement to Financial Institutions for Assembling or Providing Financial Records Procedures
B7.07.2          Reimbursement to Financial Institutions for Assembling or Providing Financial Records Policies and Procedures Checklist
B7.07.4          Reimbursement to Financial Institutions for Assembling or Providing Financial Records Request/Search Review Checklist
B7.08.1          Credit by Banks and Persons Other Than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stocks Procedures
B7.08.2          Credit by Banks and Persons Other Than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stocks Policies and Procedures Checklist
B7.08.3          Credit by Banks and Persons Other Than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stocks Document/Forms Review Checklist
B7.08.4          Credit by Banks and Persons Other Than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stocks Records File Review Checklist
B7.09.1          Interbank Liabilities Procedures
B7.09.2          Interbank Liabilities Policies and Procedures Checklist
B7.09.4          Interbank Liabilities Transaction/File Documentation Review Checklist
B7.10.1          Annual Disclosure of Financial Information Procedures
B7.10.2          Annual Disclosure of Financial Information Policies and Procedures Checklist
B7.10.4          Annual Disclosure of Financial Information File Documentation Review Checklist
B7.11.1          Advertisement of FDIC Membership Procedures
B7.11.2          Advertisement of FDIC Membership Policies and Procedures Checklist
B7.11.4          Advertisement of FDIC Membership File Documentation Review Checklist
B7.12.1          Internal Revenue Service Withholding Requirements (TIN) Procedures
B7.12.2          Interest Withholding Requirements Policies and Procedures Checklist
B7.12.4          Interest Withholding Requirements File Documentation Review Checklist
B7.13.1          Americans with Disabilities Act of 1990 Procedures
B7.13.2          Americans with Disabilities Act Policies and Procedures Checklist
B7.13.4          Americans with Disabilities Act File Documentation Review Checklist
B7.14.1          Payment Systems Risk/Daylight Overdrafts Procedures
B7.14.2          Payment Systems Risk/Daylight Overdrafts Policies and Procedures Checklist
B7.14.4          Payment Systems Risk/Daylight Overdrafts File Documentation Review Checklist
B7.15.1          Corporate Business Resumption and Contingency Planning Procedures
B7.15.2          Corporate Business Resumption and Contingency Planning Policies and Procedures Checklist
B7.15.4          Estate Appraisal Standards Procedures
B7.16.2          Real Estate Appraisal Standards Policies and Procedures Checklist
B7.16.4          Real Estate Appraisal Standards File Documentation Review Checklist
B7.17.1          Bank Bribery Act Procedures
B7.17.2          Bank Bribery Act Policies and Procedures Checklist
B7.17.4          Bank Bribery Act File Documentation Review Checklist
B7.18.1          Banking Affiliates Act of 1982 Procedures
B7.18.2          Transactions with Affiliates Policies and Procedures Checklist
B7.18.4          Transactions with Affiliates File Documentation Review Checklist
B7.19.1          Lost and Stolen Securities Program Procedures
B7.19.2          Lost and Stolen Securities Policies and Procedures Checklist
B7.19.3          Lost and Stolen Securities Forms/Document Review Checklist
B7.19.4          Lost and Stolen Securities File Documentation Review Checklist
B7.20.1          Depository Management Interlocks Act/ Management Official Interlocks Procedures
B7.20.2          Management Official Interlocks Policies and Procedures Checklist
B7.20.4          Management Official Interlocks File Documentation Review Checklist
B7.21.1          Interagency Policy Statement on Retail Sales of Nondeposit Investment Products/Joint Interpretations of the Interagency Policy Statement on Retail Sales of Retail SALES OF Nondeposit Investment Products Procedures
B7.21.2          Retail Nondeposit Investment Product (NDIP) Policies and Procedures Checklist
B7.21.3          Retail Nondeposit Investment Product (NDIP) Sales Forms/Document Review Checklist
B7.21.4          Retail Nondeposit Investment Product (NDIP) Sales File Documentation Review Checklist
B7.22.1          International Lending Supervision Act (Regulation K) Procedures
B7.22.2          International Lending Supervision Act (Regulation K) Policies and Procedures Checklist
B7.22.4          International Lending Supervision Act (Regulation K) File Documentation Review Checklist
B7.23.1          Government Securities Act
B7.23.2          Government Securities Act Policies and Procedures Review
B7.23.3          Repurchase Agreement File Review Worksheet
B7.23.4          Safekeeping of Customer-Owned Securities File Review Worksheet
B7.24.1          Protecting Tenants at Foreclosure Act Procedures
B7.24.2          Protecting Tenants at Foreclosure Act Policy and Procedures Checklist
B7.24.3          Protecting Tenants at Foreclosure Act File Review Checklist
B8.03.1          Electronic Signatures in Global and National Commerce Act
B8.03.2          Electronic Signatures Act Suggested Electronic Storage Safeguards Based on SEC Guidance
B8.03.3          Electronic Signatures Act Guidance on Electronic Record Retention Systems Checklist
B8.03.4          Electronic Banking Checklist
B8.03.5          Wireless Networks Risk Management Checklist
B8.03.6          Information Systems Compliance Checklist
B8.03.7          Information Systems (IS) Contingency Planning Checklist
B8.03.8          Operations Work Program Checklist
B8.04.1          Introduction — Subpart B Retail Payment Systems
B8.05.1          Retail Payment Systems Risk Management Questionnaire
B8.06.1          Quality and Effectiveness of the Retail Payment Systems Management Checklist
B8.07.1          Retail Payment System Controls Checklist
C1.02.3          General Policy and Procedures Review
C1.02.4          General Forms Review
C1.02.5          Review of Adverse Action Notice Form
C1.02.6          Review of General Loan Documentation Form
C1.02.7          Loan File Sample Review
C1.03.1          Personal Loans: Unsecured Procedures
C1.03.3          General Policy and Procedures Review
C1.03.4          General Forms Review
C1.03.5          Review of Adverse Action Notice Form
C1.03.6          Review of General Loan Document Form
C1.03.7          Loan File Sample Review
C2.02.1          Consumer Lease Procedures
C2.02.3          General Policy and Procedures Review
C2.02.4          General Forms Review
C2.02.5          Review of Adverse Action Notice Form
C2.02.6          Review of General Lease Document Form
C2.02.7          Lease File Sample Review
C3.02.1          Home Equity Lines of Credit Procedures
C3.02.3          Policy and Procedures Review
C3.02.5          Application Form Review
C3.02.6          Real Estate Settlement Procedures Act Regulation X, 12 CFR 1024 Form Review
C3.02.7          Loans in Areas Having Special Flood Hazards, 12 CFR 339 Form Review
C3.02.8          Review of Adverse Action Notice Form
C3.02.9          Review of General Loan Document Form
C3.02.10       Loan File Sample Review
C3.02.11       Escrow Account Worksheet
C3.03.1          Home Improvement Loan Procedures
C3.03.3          Policy and Procedures Review
C3.03.5          Application Form Review
C3.03.6          Real Estate Settlement Procedures Act Regulation X, 12 CFR 1024 Form Review
C3.03.7          Review of Adverse Action Notice Form
C3.03.8          Review of General Loan Document Form
C3.03.9          Loan File Sample Review
C3.03.10       Reverse Mortgage Worksheet
C3.03.11       Escrow Account Worksheet
C3.03.13       High-Cost Mortgage Worksheet
C3.04.1          Residential Real Estate Mortgages Procedures
C3.04.3          Policy and Procedures Review
C3.04.5          Application Form Review
C3.04.6          Real Estate Settlement Procedures Act Regulation X, 12 CFR 1024 Form Review
C3.04.7          Review of Adverse Action Notice Form
C3.04.8          Review of General Loan Document Form
C3.04.9          Loan File Sample Review
C3.04.10       Reverse Mortgage Worksheet
C3.04.11       Escrow Account Worksheet
C3.04.13       High-Cost Mortgage Worksheet
C4.02.1          Credit Cards Procedures
C4.02.3          General Policy and Procedures Review
C4.02.4          General Forms Review
C4.02.5          Review of Adverse Action Notice Form
C4.02.6          Review of General Loan Document Form
C4.02.7          Review of Periodic Statement Form
C4.02.8          Loan File Sample Review
C5.02.1          Business Lines of Credit Procedures
C5.02.3          General Policy and Procedures Review
C5.02.4          General Forms Review
C5.02.6          Loan File Sample Review
C5.03.1          Business Loans: Unsecured Procedures
C5.03.3          General Policy and Procedures Review
C5.03.4          General Forms Review
C5.03.6          Loan File Sample Review
C5.04.1          Business Loans Secured by Non-Real Estate Collateral Procedures
C5.04.3          General Policy and Procedures Review
C5.04.4          General Forms Review
C5.04.6          Loan File Sample Review
C5.05.1          Business Loans Secured by Real Estate Collateral Procedures
C5.05.3          General Policy and Procedures Review
C5.05.4          General Forms Review
C5.05.6          Loan File Sample Review
C6.02.1          Letters of Credit Secured by Real Estate Collateral Procedures
C6.02.3          General Policy and Procedures Review
C6.02.4          General Forms Review
C6.02.6          Loan File Sample Review
C6.03.1          Letters of Credit Secured by Non-Real Estate Collateral Procedures
C6.03.3          General Policy and Procedures Review
C6.03.4          General Forms Review
C6.03.6          Loan File Sample Review
C6.04.1          Letters of Credit Unsecured Procedures
C6.04.3          General Policy and Procedures Review
C6.04.4          General Forms Review
C6.04.6         Loan File Sample Review
C7.02.1          Residential Real Estate Construction Loans (Temporary Financing Only) Procedures
C7.02.3          Residential Real Estate Construction Loans (Temporary Financing Only)
C7.02.5          Application Form Review — General
C7.02.6          Review of Adverse Action Notice Form
C7.02.7          Review of General Loan Document Form
C7.02.8          Loan File Sample Review
C7.02.9          Escrow Account Worksheet
C7.03.1          Residential Real Estate Construction Loans (Initial and Permanent (End) Financing) Procedures
C7.03.3          Residential Real Estate Construction Loans (Initial and Permanent (End) Financing)
C7.03.5          Application Form Review &8212; General
C7.03.6          Real Estate Settlement Regulation X, 12 CFR 1024 Form Review
C7.03.7          Review of Adverse Action Notice Form
C7.03.8          Review of General Loan Document Form
C7.03.9          Loan File Sample Review
C7.03.10       Escrow Account Worksheet

Authors / Contributors

Table of Contents

VOLUME I 

Part A — Compliance Monitoring Work Papers

Section A1: Compliance Testing Schedule

Section A2: Product/Service Guidelines

Section A3: Regulatory Risk Sampling Grid

Section A4: Sample Memo of Request

Section A5: Internal Compliance Review Checklist

Part B — Compliance Monitoring Procedures: Review by Law, Regulation, and Ruling

Section B1: Fair Lending Compliance

Section B2: Community Compliance

Section B3: Truth-in-Lending Compliance

Section B4: Other Consumer Compliance

Section B5: Deposits Compliance

Section B6: Anti-Money Laundering Compliance

VOLUME II


Section B7: Commercial Compliance

Section B8: Electronic Banking Services

Part C — Compliance Monitoring Procedures: Review by Lending Product

Section C1: Personal Loans

Section C2: Consumer Leases

Section C3: Home-Related Products

Section C4: Credit Cards

Section C5: Business-Related Products

Section C6: Letters of Credit

Section C7: Residential Construction Loans