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Compliance Action, Volume 17, Number 3

March 26, 2012

What is the State of Your BSA/AML Compliance? Are You Sure...Are Things Changing? (4 Action Steps)

By Mollie Sudhoff, CRCM, CRP

With every regulatory change that affects BSA/AML compliance comes increased scrutiny. At BOL's 2012 BSA/AML Top Gun conference, FinCEN's Tom Fleming shared his thoughts on the current state of BSA compliance.

Your Compliance Program: Learning From the Foreclosure Settlements (3 Action Steps)

By Lucy Griffin

Better than learning from our own mistakes is learning from other's mistakes. The agencies foreclosure settlement agreements with the largest mortgage lenders and service providers provides a compliance blueprint for all financial institutions.

Action Training
Compliance Program: Testing for UDAAP (Self-Assessment Questions)

By Lucy Griffin

When testing for UDAAP, keeping three elements and some basic rules in mind will help in determining violations and ensuring compliance.

Compliance Notes

Compliance Calendar

In the Editor's Opinion
When a Consumer Buys a House

By Lucy Griffin

Policies, procedures and programs focus on putting a product on the books but not on what happens - or where the responsibility lies - when something goes wrong.

Compliance Q & A

Insiders Should Keep Information Inside

The FDIC has issued some guidance on the removal of supervisory records and other sensitive information that are the property of the FDIC or belong exclusively to the financial institution.

Executive Editor:
Lucy H. Griffin, Esq.
Board of Advisors:
Patti Blenden
John S. Byrne, Esq.
David Battle
Robert P. Chamness
David Dickinson
Phillips G. Gay, Jr.
Barbara Hurst
Robert G. Rowe, III, Esq.
Michael D. Maher
Andy Zavoina

Compliance Action

Bankers' Hotline

Compliance Action