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Compliance Action, Volume 17, Number 4

April 10, 2012

Common Violations (7 Action Steps)

By Lucy Griffin

The Fed's top ten list of the most common violations is out - and all of them are related to lending.

SARs: ‘Tis the Season for Tax Fraud (4 Action Steps)

By Lucy Griffin

Tax returns are filed or being filed and refund checks are going out. It's the time of year for financial instituions to be on high alert for tax refund fraud and related identity theft.

Action Training
Tracking Common Violations to the Source (Chart)

By Lucy Griffin

Violations the examiners see often are common violations that occur because a task is repeated frequently or there has been a change in a regulation. Tracking those violations to the source and training in those areas can help your institution avoid these common violations.

Compliance Notes

Compliance Calendar

In the Editor's Opinion
Rethinking Regulations

By Lucy Griffin

As the Consumer Financial Protection Bureau takes over the review and redesign of some regulations from bank regulatory agencies, the question arises as to whether the formats and content of disclosures will be the same for consumer lenders and mortgage lenders.

Compliance Q & A

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