10 Steps to a Successful Regulatory Compliance Program

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CFPB • Not all that it is cracked up to be • Overall, agencies way behind schedule in implementing Dodd-Frank provisions 8 ©2012 CliftonLarsonAllen LLP
CFPB Intent • Mortgage lending changes coming • Flat fee comp only • Largest banks only • Easier for CFPB to manage 9 ©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: The New Consumer Financial Protecti
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 and 30: 7. Understanding roles of complianc
Page 31 and 32: 8. UDAAP • Look at ethical behavi
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

10 Steps to a Successful Regulatory Compliance Program

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