Vendor Guru Q&A - Compliance

Latest Compliance - Information Security Guidelines Topics

Tracking complaints is required

03/31/2019

What might happen if we don't have a system to track complaint resolutions?

Insuring against fraud losses

02/11/2018

We have a cyber rider as part of our bank’s insurance policy. Won’t that cover any losses we have due to wire transfer fraud?

Confirming wire-transfer controls

02/04/2018

Do we need to confirm that our commercial wire transfer clients have controls in place to prevent wire transfer fraud?

Sharing wire transfer risk info

01/28/2018

Can information-sharing help prevent wire-transfer losses?

Is tracking complaints necessary?

07/09/2017

What might happen if we don't have a system to track complaint resolutions?

Privacy and Outsourcing Loan Reviews

10/04/2004

What are the privacy issues related to having a contract person providing loan analysis as opposed to a full-time employee? This person would be required to see financial statements, credit reports, and other personal information about existing customers.

Strengthening Your Customer Information Policy & Procedures

01/20/2003

We have a policy and procedures on Safeguarding Customer Information. My problem is, FDIC EDP examiner wants more meat on it, such as; address logical and physical access controls to CIF. No incident response policies? I can't find the information in the Federal Register. Vendor oversight requirements have not been formalized, Can you direct me to any site that will have examples or answers to these questions?

Required Employee Training

02/11/2002

I'm a new compliance officer and I need to know what regulations require employee training. I'm in the process of putting together a compliance training calendar for my bank.

Surprises in the Final Information Security Guidelines

01/15/2001

The federal banking regulators have agreed to on final Interagency Guidelines Establishing Standards for Safeguarding Customer Information ("Guidelines"). You previously wrote two articles for us on the proposed guidelines. (See <a href="gurus_technology1211.html">Part 1</a> and <a href="gurus_technology1218.html">Part 2</a>.) Were there any surprises for you in the final version of Interagency Guidelines Establishing Standards for Safeguarding Customer Information? And could you give us a quick heads-up on what the final guidelines provide?

Church/Credit Union: Non-government Organizations?

08/01/2021

We are going back and forth as to whether or not a credit union or a church are actually considered non-government organizations? Although we know that they are non-profit, I have read conflicting information and am trying to settle this internally.

Record Retention for Debit Card Dispute Docs

08/01/2021

How long do we need to keep debit card dispute docs? (What is the time of retention?)

Advertising-more than ECOA, TILA, TISA and Fair Housing

08/01/2021

Is following the standard Regs, B, Z, DD and fair housing going to ensure advertising compliance?

Handling Reg E claims on older transactions.

07/25/2021

If an EFT claim is made long after the statement is sent showing the transaction, the rules of investigation don't apply. So why do we investigate any of these claims?

Compliance Info on Paper Checks

07/25/2021

I was wondering if you could point me in the right direction as to where to find more information on compliance for paper checks? Whenever I place a stop payment on a paper check, there's a disclosure that says "this request will expire in 6 months in order to comply with regulatory requirements." For the customers who ask for a more in-depth answer, what can I tell them?

Latest Compliance - Information Security Guidelines Topics

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