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Lexis Nexis 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.
Publisher: LexisNexis Sheshunoff
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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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Authors / Contributors
James H. Pannabecker
James H. Pannabecker
James H. Pannabecker writes from Natural Bridge Station, Virginia and focuses on banking law and regulatory compliance. Mr. Pannabecker formerly was a senior vice president and general counsel of Citicorp Mortgage, Inc., where he managed the provision of legal services for the nationwide origination of mortgage loans through Citicorp's affiliated first mortgage lenders. Before joining Citicorp, Mr. Pannabecker served as in-house counsel to Maryland National Bank; First Virginia Banks, Inc.; and First American Mortgage Group. He also is a former Professor of Practice at the Washington & Lee University School of Law.
Mr. Pannabecker is the author or coauthor of numerous publications in the areas of truth in lending, real estate settlement procedures, equal credit opportunity, community reinvestment, home mortgage disclosure, and banking law. His most recent book, 2018 Home Mortgage Disclosure Act Manual, is now available from LexisNexis. Other publications include Truth-in-Lending Manual: Text and Forms; Practical Guide to the Wall Street Reform and Consumer Protection Act: Understanding and Implementing Changes Under the Dodd-Frank Act; The RESPA Manual: A Complete Guide to the Real Estate Settlement Procedures Act; Mortgage Lending Compliance with Federal and State Guidance; Mortgage Lenders Model Compliance Manual: Policies, Forms, and Checklists; Banking Law Digest; The Law of Electronic Fund Transfer Systems; and The TILA-RESPA Disclosure Integration Manual: A Guide to Implementing the CFPB's 2015 Disclosure Integration Rule. He also writes two monthly newsletters, The Banker's Letter of the Law and Compliance Examinations Update for Financial Institutions.
Table of Contents
VOLUME 1
Compliance Management Issues
Chapter 1: Compliance Management Issues
Truth-in-Lending
Chapter 2: Truth-in-Lending — General
Chapter 3: Truth-in-Lending — Closed End
Chapter 4: Truth-in-Lending — Open End
Discrimination
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
Truth-in-Savings
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
VOLUME II
Electronic Payments and Checks
Chapter 15: Electronic Payments and Checks
E-Banking
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
