Upcoming Events
Live Membership Demo 04-13-2021
April 13, 2021
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…
Live Membership Demo 04-15-2021
April 15, 2021
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…
Live Membership Demo 04-08-2021
April 08, 2021
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…
Live Membership Demo 04-06-2021
April 06, 2021
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…
Comment Period: Qualified Mortgage Definition under the Truth in Lending Act (Regulation Z): General QM Loan Definition; Delay of Mandatory Compliance Date
April 05, 2021
The Bureau of Consumer Financial Protection (Bureau) is proposing to delay the mandatory compliance date of the final rule titled Qualified Mortgage Definition under the Truth in Lending Act (Regulation Z): General QM Loan Definition (General QM Final Rule) until October 1, 2022. Read more here.
May 2021 Compliance Huddle
May 12, 2021
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…
TRID: Common Issues (Webinar)
April 22, 2021
Description: In this webinar, Elizabeth K. Madlem, Deputy General Counsel, will breakdown C/A’s top tips, tricks and FAQs when it comes to navigating complex issues within the TRID regulation. This webinar will provide a breakdown of issue dates, seller’s CDs, fee names, construction loans, and more. People who should attend: Compliance Officer, Compliance Staff, Loan Officers, Lending…
B2B: Deposit Accounts and Ownership Defined
April 06, 2021
Description: In this Back2Basics webinar, Tim Dominguez, Associate General Counsel, will discuss the different types of deposit accounts you would typically find at a financial institution ranging from savings accounts, checking accounts, demand deposits and commercial accounts, along with the regulatory and beneficial ownership requirements that cover them. He will also be providing rules in how…
March 2021 Compliance Huddle
March 10, 2021
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…
April 2021 Compliance Huddle
April 21, 2021
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 Membership Demo 04-01-2021
April 01, 2021
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…
Live Membership Demo 03-30-2021
March 30, 2021
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…
Live Membership Demo 03-25-2021
March 25, 2021
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…
Live Membership Demo 03-23-2021
March 23, 2021
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…
Live Membership Demo 03-18-2021
March 18, 2021
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…
Live Membership Demo 03-16-2021
March 16, 2021
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…
Live Membership Demo 03-04-2021
March 04, 2021
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…
Live Membership Demo 03-09-2021
March 09, 2021
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…
Live Membership Demo 03-11-2021
March 11, 2021
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…
Live Membership Demo 03-02-2021
March 02, 2021
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…
Comment Period: BSA Requirements for Convertible Virtual Currency and Digital Assets
March 01, 2021
The Financial Crimes Enforcement Network (FinCEN) issued a notice on 01/15/2021, to announce the reopening of the comment period of a previously published proposed rule regarding the Bank Secrecy Act (BSA). On 12/23/2020, FinCEN published a proposed rule proposing requirements for banks and money services businesses (MSBs) related to certain transactions involving convertible virtual currency…
Comment Period: Delayed Effective Date of Independent Contractor Status Under the Fair Labor Standards Act Final Rule
February 24, 2021
The Department of Labor (DOL) issued notice of the proposed delay in effective date for the final rule entitled, Independent Contractor Status Under the Fair Labor Standards Act, published in the Federal Register on 01/07/2021. In accordance with the Presidential directive as expressed in the memorandum of 01/20/2021, from the Assistant to the President and Chief of Staff,…
Effective Date: Final Margin Rule
February 24, 2021
CFTC issues a final rule to amend the margin requirements for uncleared swaps for swap dealers (SD) and major swap participants (MSP) for which there is not a prudential regulator (CFTC Margin Rule). The final rule amends the CFTC Margin Rule to permit the application of a minimum transfer amount (MTA) of up to $50,000 for each…
Effective Date: Position Limits for Derivatives
March 15, 2021
CFTC issued a final rule to conform regulations concerning speculative position limits to the relevant Dodd-Frank Act amendments to the Commodity Exchange Act (CEA). Among other regulatory amendments, CFTC adopted: (a) new and amended federal spot-month limits for 25 physical commodity derivatives; (b) amended single month and all-months-combined limits for most of the agricultural contracts currently subject…
Mandatory Compliance Date: Electronic Trading Risk Principles.
July 12, 2021
The Commodity Futures Trading Commission (CFTC) issued a final rule to amend its part 38 regulations to address the potential risk of a designated contract market’s (DCM) trading platform that experience a market disruption or system anomaly due to electronic trading. The final rule set forth three principles applicable to DCMs concerning the: (1) implementation of exchange rules…