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#28285 - 08/19/02 04:28 PM Compliance Timeline
Al Miller Offline
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Al Miller
Joined: Oct 2000
Posts: 2,416
Pleasanton CA USA
I need to gather a list of major compliance issues over the past 5 or 10 years. I know I saw lists several years ago, but can't find a recent one. Any ideas for such a list, or suggestions as to what to include?

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Al Miller, CRCM
Opinions expressed are my own and not necessarily shared by my employer.

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Lending Compliance
#28286 - 08/19/02 05:37 PM Re: Compliance Timeline
Al Miller Offline
Diamond Poster
Al Miller
Joined: Oct 2000
Posts: 2,416
Pleasanton CA USA
Well, I see 2 problems with this post. First, it should be in the general topic, not lending. And secondly, I am most interested in what happened in the past than what is whelming us now (some of us will be overwhelmed and some underwhelmed).
_________________________
Al Miller, CRCM
Opinions expressed are my own and not necessarily shared by my employer.

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#28287 - 08/19/02 05:40 PM Re: Compliance Timeline
Richard Insley Online
10K Club
Richard Insley
Joined: Oct 2000
Posts: 10,170
Toano, VA
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...gone fishing.

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#28288 - 08/19/02 06:27 PM Re: Compliance Timeline
Anonymous
Unregistered

The Federal Reserve Board's Consumer Affairs Division maintains a database on the most frequently violated compliance regs. For compliance issues at least, they may be able to provide you with that list--the issues and violations don't change much one year to the next.

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#28289 - 08/21/02 03:18 PM Re: Compliance Timeline
Howard Lax Offline
Gold Star
Howard Lax
Joined: Jan 2002
Posts: 478
Bloomfield Hills, Michigan
Don't forget my list of obscure compliance errors at http://www.lipsonneilson.com/june.html#My%20Top%20Ten%20List%20of%20Compliance
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Howard A. Lax Lipson, Neilson, et. al. Bloomfield Hills, MI hlax@lipsonneilson.com

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