Most Popular Compliance Content
Product Names
12/01/1997
The name of an investment product can be critical. Names can cause or prevent customer confusion.
Question & Answer
12/01/1997
Question: We have a contract with a third party vendor to sell mutual funds in the bank lobby. We don't have a clearly separate area to place this vendor.
Compensation: How Much and When?
12/01/1997
NDIP isn't RESPA. You may pay staff for referrals to the NDIP sales team. However, there are several conditions or restrictions on compensation. First, the compensation must be reasonable.
FDIC NDIP Exam Procedures
12/01/1997
FDIC has issued examination procedures that contain detailed guides to the examination and audit process.
FDIC lists common compliance problems
12/01/1997
The most frequently violated compliance requirements involve the Real Estate Settlement Procedures Act (Regulation X), a FDIC list revealed.