10 Steps to a Successful Regulatory Compliance Program

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Role of Compliance • Guidance, Regulation, Act • Enabler • Coach not Cop • Board Access • Cover Everything 30 ©2012 CliftonLarsonAllen LLP
8. UDAAP • Look at ethical behavior versus legal requirements • Something can be legal but is it ethical? • That is what can get you into trouble 31 ©2012 CliftonLarsonAllen LLP
Page 1 and 2: ©2012 CliftonLarsonAllen LLP 10 St
Page 3 and 4: Today’s Session • Describe the
Page 5 and 6: Changes Big and Small • Regulatio
Page 7 and 8: The New Consumer Financial Protecti
Page 9 and 10: CFPB Intent • Mortgage lending ch
Page 11 and 12: 10 Steps to Building and Maintainin
Page 13 and 14: Compliance Program • Examiner exp
Page 15 and 16: Risk Based? • Be careful • Must
Page 17 and 18: Compliance Officer Skills • Grey
Page 19 and 20: 3. Ongoing Compliance Testing • O
Page 21 and 22: Compliance Testing Tips • Testing
Page 23 and 24: Expectations • Risk Based - Shoul
Page 25 and 26: 5. Process to Implement Regulatory
Page 27 and 28: But… • Fair lending case • OC
Page 29: 7. Understanding roles of complianc
Page 33 and 34: UDAAP • Four Ps • Third party r
Page 35 and 36: UDAAP Examples • Police report
Page 37 and 38: Closely Watch • ATM fees • Over
Page 39 and 40: 10. Fair Lending • Referrals to D
Page 41 and 42: Wells Fargo • Largest residential
Page 43 and 44: Fair lending risks • Unsecured sh
Page 45: ©2012 CliftonLarsonAllen LLP Quest

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