Most Popular Compliance Content
Compliance Info for Emailed DDA/SAV Statements
11/10/2008
Where can I get information on compliance related to emailed DDA/SAV statements? We need to know if the customer has to pick up the email in a certain number of days.
Performing Risk Assessments
11/03/2008
What individual risk assessments is a bank expected to perform? How do the individual risk assessments fit together with an "enterprise risk assessment"?
Implementing the Red Flags Change of Address Verification Requirement
11/03/2008
Under the new Red Flag Rule guidelines how can our institution implement the change of address verification requirement?
Became EO After Obtaining Loan - Reg O Violation?
11/03/2008
We have an employee who obtained a $250,000 loan secured by a second trust deed on his residence and used the proceeds to purchase a new home. After the loan was made the employee was promoted and is now an executive officer of the bank. Do we have a potential Reg O violation? The credit does not fit within the established exemptions and is in excess of $100,000.
Reg R Section 218.701 Compliance
11/03/2008
I need to know what we need to do to be in compliance with Reg R Section 218.701. Our employees do receive a referral fee for referring a customer to an investor.