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Compliance for the Board of Directors

Be sure to JOIN US on February 11, 2020, for our webinar, “Compliance for the Board of Directors”.  A good compliance management system (CMS) is made up of many components…culture, risk assessments, policies, procedures, training, reporting, etc. but it all hinges on...

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Customer Due Diligence & Beneficial Owners

Be sure to JOIN US on February 18, 2020, for our webinar, “Customer Due Diligence & Beneficial Owners”.  The fifth pillar of your BSA program (aka customer due diligence) is an area that many financial institutions still continue to miss some of the...

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TRID for Beginners

Be sure to JOIN US on February 11, 2020, for our webinar, “TRID for Beginners”.  Are you new to TRID and looking to learn the basics? If so, you are in luck!  We have put together a webinar that will get you on the right track with TRID compliance.  A common beginner...

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Elder Fraud Increasing

Elder fraud, elder abuse, elder financial exploitation - whatever you call it, it’s not only a horrible crime but it’s on the rise.  FinCEN recently released a report, “Financial Trend Analysis: Elders Face Increased Financial Threat from Domestic and Foreign...

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The Mortgage Life Cycle

Be sure to JOIN US beginning February 13, 2020, for our webinar, “The Mortgage Life Cycle (A Five-Part Webinar Series)”.  Mortgage lending compliance is tough!  There are a lot of rules and a lot of specific timing requirements which can create headaches for even...

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Tailored BSA Training

Training is one of the most important aspects of your BSA program. In fact, it's one of the five pillars.  BSA training should be tailored to match the various responsibilities of your Team. In other words, BSA training for your tellers should look a little...

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FDIC Common Deposit Violations

In November, we had the pleasure of attending the 2019 Iowa Bankers Association Compliance Conference.  One of the breakout sessions addressed common errors and findings from the FDIC.  Whether you are FDIC regulated or not, any time you have access to a...

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URLA Effective Date Announced

We know you’ve been patiently waiting, so we wanted to update you on the status of the redesigned Uniform Residential Loan Application (URLA / Form 1003).  You may recall the URLA was completely redesigned to support changes in regulatory (for example, HMDA) and...

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Social Media Advertising

Be sure to JOIN US on January 21, 2020, for our webinar on “Advertising”.  We get a lot of questions regarding the advertising requirements for social media…both for deposit products and loan products.  Many people believe there are exemptions from the advertising...

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FinCEN Revises CTR Instructions Again

In our November 2019 Magazine, we informed you of the fact that FinCEN had changed their Currency Transaction Report instructions (CTR XML Schema User Guide) and the corresponding answer to Question #16 in their CTR FAQs, in regard to reporting a conductor in Part I...

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