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Compliance Action, Volume 22, Number 10

September 27, 2017

*** NEW Feature: Delivering content as it is written ***

To get information to you as quickly as possible, we will post new content as soon as it is available (generally several times per week). The Table of Contents (below) will build as more information is added to each issue. This way, you will be certain to get compliance information in the fastest, most efficient way possible. And, as usual, when an issue is complete, you will continue to receive an email notification. - Patti Blenden, Editor

September 27, 2017 – October 4, 2017

Monitoring the Regulatory Environment Pulse (3 Action Steps)

by Patti Blenden

The leaves aren't the only things taking on new colors as we migrate to the fall season. Regulatory change is in the air... and the financial marketplace is changing and evolving faster than laws, regulations and expectations. It's a good time to reexamine and bring new life to your compliance programs.

How to Be an Effective Compliance Officer (4 Action Steps)

by Julie Gliha, MBA

A great Compliance Management System must have a skillful Compliance Officer to lead and inspire the troops and to focus the board and executive management's direction into an action plan consistent with regulatory expectations. Iowa Bankers Association's VP of Regulatory Compliance shares what makes a great compliance officer based on years of experience in the field.

Action Training
TRID: Shopping for Settlement Services ยง1026.19(e): Final (Chart)

by Patti Blenden

We have updated the TRID: Shopping for Settlement Services chart to reflect TRID's final amendments published in August.

Compliance Notes

Compliance Calendar

In the Editor's Opinion
Hungry Class Action Lawyers

by Lucy Griffin, Esq.

The process of arbitration, when conducted under strict rules to preserve neutrality and fairness, is intended to ensure that both parties are treated fairly. Those who are opposing arbitration and class action suits are the only ones who would benefit from the CFPB's recently-finalized rule banning mandatory arbitration clauses.

Compliance Q & A

Patti Blenden
Executive Editor:
Lucy H. Griffin, Esq.
Board of Advisors:
John S. Byrne, Esq.
Cliff E. Cook
David Dickinson
Julie Gliha, MBA
Michael D. Maher
Carl G. Pry
Robert G. Rowe, III, Esq.
Andy Zavoina

Compliance Action

Bankers' Hotline

Compliance Action