Compliance Tools

314(a) "What to Search" Cheat Sheet

01/15/2005

Cheat sheet on areas to review for 314(a) inquiries.

314(a) Documentation Spreadsheet

01/15/2005

This spreadsheet outlines the seven areas which must searched in connection with processing Section 314(a) search requests from FinCEN.

OFAC Procedures

01/01/2005

Two sets of OFAC procedures: one is for the bankers, and one is for the operations center.

BSA Exemption Review

01/01/2005

BSA Exemption Review Form designed for account officers in documenting eligibility for exemption under Phase II rules.

BSA/CIP Awareness Signs

01/01/2005

Three signs to increase awareness of the importance of BSA and CIP compliance.

Human Resources Review

01/01/2005

A questionnaire designed to ensure that six different areas of HR are properly reviewed.

HMDA Input Reporting Worksheet

01/01/2004

HMDA-LAR data input and GMI data collection sheets to streamline correct data input.

FDIC's Compliance and Document Request

06/01/2003

Sample items for review for an FDIC exam request.

Reg D Chart - Limitations on Withdrawals and Transfers from Savings Deposits

01/01/2003

Cheat Sheet for transfer limits from savings accounts, including Money Market Deposit Accounts.

MSB Review and Risk Analysis Worksheet

06/01/2002

This is a two-page form for performing and documenting a review and risk assessment of MSBs.

Website Checklist

03/01/2002

This is a general website review checklist.

Flood Insurance Cheat Sheet

01/01/2002

Decision tree form on applicability of basic flood requirements.

Reg D Transfer/Withdrawal Letter Guidance

01/01/2001

Transfer/Withdrawal Restrictions Guidance from the FRB -- covers home banking, Internet banking, online bill pay issues.

CRA Worksheets

01/01/2001

CRA Service, Lending and community development worksheets.

BSA Risk Rating Tool Set

01/01/2001

Five tools which can be used any by community banks in the BSA/AML risk rating process for products, services and commercial customers.

Sexual Harassment Prevention Training Info

01/01/2001

Sexual Harassment primer.

Calculating the Cost of Training

01/01/2001

Tools for computing the cost of training.

Gifts - Rules and Reporting

01/01/2001

Training materials on gifts, interest, tax reporting and lottery rules.

Code of Ethics

01/01/2000

Sample Code of Ethics policy.