Upcoming Events
B2B: Appraisal Overview
July 05, 2022
Description: Whether you are new to lending or need a “refresh” on the basics of appraisals, this webinar is you. Appraisals are a vital tool for valuing real estate transactions. In this webinar, we will journey through a high-level overview of definitions, purpose, processes, and laws governing appraisals. This will include focusing on areas such…
July 2022 Compliance Huddle
July 13, 2022
Every month, Compliance Alliance gathers bankers from our community nationwide and engages them to an open discussion about the issues that their organizations are navigating. We invite our members to share their concerns and experiences with input and guidance from the compliance professionals who host the event. Ways to Participate: Upon registration, you can submit a topic…
June 2022 Compliance Huddle
June 15, 2022
Every month, Compliance Alliance gathers bankers from our community nationwide and engages them to an open discussion about the issues that their organizations are navigating. We invite our members to share their concerns and experiences with input and guidance from the compliance professionals who host the event. Ways to Participate: Upon registration, you can submit a topic…
Developing a CMS and Risk Assessment Mitigation Webinar
June 23, 2022
Description: Does your Bank have a CMS in place? Is it meeting regulator expectations? This Webinar will guide you through a comprehensive overview of a bank’s Compliance Management System or CMS. We will review exam expectations and ratings systems from the various regulators, as well as best practices for creating or improving your Bank’s CMS…
B2B: FDIC Insurance Explained
June 07, 2022
Description: This webinar will spotlight FDIC Insurance. Deposit insurance is one of the benefits of banking at a FDIC-insured bank. It provides specific protections for depositors against the loss of their insured deposits in the event that an FDIC insured bank fails. This B2B will focus on what FDIC insurance is, who qualifies for FDIC insurance,…
Live Membership Demo 05-21-2022
May 05, 2022
Join us for a live demonstration of the benefits of membership with Compliance Alliance. This interactive virtual tour will provide an in-depth look at each of our tool types and resource categories, as well as an overview of all of C/A’s additional services. This meeting is presented by our Membership team, and will last about an…
Information Security Webinar
May 19, 2022
Description: Information Security remains a top initiative throughout 2022. Banks continue to have the highest level of security among critical U.S. industries and along with that, the most stringent regulatory requirements. This webinar will assist your bank in understanding its risk environments, and ensuring you have the right plans in place when it comes to identifying…
B2B: Loan Officer Compensation
May 10, 2022
Description: The training webinar begins with a broad overview of the loan officer compensation rules including the scope of the rule, the definition of a loan originator, and general limits on compensation. After the introduction and overview, the training narrows its focus to a review of prohibited compensation practices. The training will also address bonus plans…
Live User Walkthrough May 2022
May 24, 2022
In this 30-45 minute session, we will demonstrate all the features of the Compliance Alliance website. During this meeting, we encourage our members to ask us about even the site’s most basic functions – after all, there are no bad questions, only bad answers. If you have any areas of focus you would like addressed…
May 2022 Compliance Huddle
May 11, 2022
Every month, Compliance Alliance gathers bankers from our community nationwide and engages them to an open discussion about the issues that their organizations are navigating. We invite our members to share their concerns and experiences with input and guidance from the compliance professionals who host the event. Ways to Participate: Upon registration, you can submit a topic…
Live User Walkthrough April 2022
April 19, 2022
In this 30-45 minute session, we will demonstrate all the features of the Compliance Alliance website. During this meeting, we encourage our members to ask us about even the site’s most basic functions – after all, there are no bad questions, only bad answers. If you have any areas of focus you would like addressed…
April 2022 Compliance Huddle
April 13, 2022
Every month, Compliance Alliance gathers bankers from our community nationwide and engages them to an open discussion about the issues that their organizations are navigating. We invite our members to share their concerns and experiences with input and guidance from the compliance professionals who host the event. Ways to Participate: Upon registration, you can submit a topic…
Developing Your Business Continuity Management Plan (webinar)
April 21, 2022
Description: It is critical that a bank’s business operations are resilient and the effects of disruptions in service are minimized in an effort to maintain public trust and confidence. In the event of adverse events, a business continuity plan is essential in diminishing the negative effects which could impact your bank’s reputation, operations, and safety…
B2B: Regulation Z Overview
April 05, 2022
Description: Regulation Z is one of those that’s been around for what seems like forever. It is one of the more complex regulations of the bunch so it’s always important to revise the requirements and to stay abreast of the latest. Join us for a helpful and meaningful overview of Regulation Z and Truth and…
Mandatory Compliance Date: Computer-Security Incident Notification Requirements for Banking Organizations and Their Bank Service Providers
May 01, 2022
The OCC, Board, and FDIC are issuing a final rule that requires a banking organization to notify its primary Federal regulator of any “computer-security incident” that rises to the level of a “notification incident,” as soon as possible and no later than 36 hours after the banking organization determines that a notification incident has occurred….
Effective Date: Computer-Security Incident Notification Requirements for Banking Organizations and Their Bank Service Providers
April 01, 2022
The OCC, Board, and FDIC are issuing a final rule that requires a banking organization to notify its primary Federal regulator of any “computer-security incident” that rises to the level of a “notification incident,” as soon as possible and no later than 36 hours after the banking organization determines that a notification incident has occurred….
Effective Date: FDIC Final Rule Regarding Deposit Insurance Simplification
April 01, 2024
The Federal Deposit Insurance Corporation is amending its regulations governing deposit insurance coverage. The amendments simplify the deposit insurance regulations by establishing a ‘‘trust accounts’’ category that governs coverage of deposits of both revocable trusts and irrevocable trusts using a common calculation, and provide consistent deposit insurance treatment for all mortgage servicing account balances held…
Effective Date: OFAC Final Rule on Chinese Military-Industrial Complex Sanctions
February 16, 2022
The Department of the Treasury's Office of Foreign Assets Control (OFAC) is adding regulations to implement a November 12, 2020 Executive order related to securities investments that finance Communist Chinese military companies, as amended by a June 3, 2021 Executive order related to the Chinese military-industrial complex and Chinese surveillance technology. OFAC intends to supplement…
Effective Date: NACHA Rule on Micro-Entries Phase 2
March 17, 2023
A new Nacha Rule defining and standardizing Micro-Entry formatting and practices has been passed to improve the effectiveness of Micro-Entries as a means of account validation; to better enable Financial Institutions and other parties to identify and monitor Micro-Entries; to improve ACH Network quality. Effective in two phases, though Nacha encourages all ACH Network participants…
Effective Date: NACHA Rule on Micro-Entries
September 16, 2022
A new Nacha Rule defining and standardizing Micro-Entry formatting and practices has been passed to improve the effectiveness of Micro-Entries as a means of account validation; to better enable Financial Institutions and other parties to identify and monitor Micro-Entries; to improve ACH Network quality. Effective in two phases, though Nacha encourages all ACH Network participants…
Effective Date: Interagency Statement on Special Purpose Credit Programs Under the Equal Credit Opportunity Act and Regulation B
February 22, 2022
The Board of Governors of the Federal Reserve System (FRB), the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration (NCUA), the Office of the Comptroller of the Currency (OCC), the Consumer Financial Protection Bureau (CFPB or Bureau), the Department of Housing and Urban Development (HUD), the Department of Justice (DOJ), and the Federal…
Effective Date: FOMC formally adopts comprehensive new rules for investment and trading activity
May 01, 2022
The Federal Open Market Committee (the “Committee”) is committed to upholding the highest standards of ethical conduct. Public trust is critical to the successful execution of the Committee’s monetary policy responsibilities. The Committee is therefore adopting stringent restrictions on the investment and trading activities of covered individuals to ensure public confidence in the impartiality and…
Mandatory Compliance: Servicer Responsibilities in Public Service Loan Forgiveness Communications
March 01, 2022
The Consumer Financial Protection Bureau (CFPB) is issuing this Compliance Bulletin and Policy Guidance (Bulletin) regarding the servicing of Federal student loans, including Federal Family Education Loan Program and Perkins loans, for borrowers who may be eligible for Public Service Loan Forgiveness (PSLF). The Limited PSLF Waiver announced by the Department of Education on October…
Mandatory Compliance: Russian Harmful Foreign Activities Sanctions Regulations
March 01, 2022
The Department of the Treasury's Office of Foreign Assets Control (OFAC) is adding regulations to implement an April 15, 2021 Russia-related Executive order. OFAC intends to supplement these regulations with a more comprehensive set of regulations, which may include additional interpretive guidance and definitions, general licenses, and other regulatory provisions.
Mandatory Compliance: Exemptions to Suspicious Activity Report Requirements
May 01, 2022
This final rule modifies the requirements for national banks and Federal savings associations, including Federal branches and agencies of foreign banks licensed or chartered by the OCC, to file suspicious activity reports (SARs). It amends the OCC's SAR regulations to allow the OCC to issue exemptions from the requirements of those regulations upon request from…