Collaboration & Resources - Compliance Services Group

The policies and procedures below are documents that provide a starting point to create an effective policy or procedure. You should never implement the templates in their provided form simply by adding the financial institution’s name or logo. You will need to customize the policies and procedures to adapt to your financial institution’s requirements.

Compliance Services Group cannot guarantee the templates for accuracy, compliance or legality due to the generic nature and allowable customization by financial institutions.

The password for the templates is available by contacting Compliance Services Group.

Compliance Policy Template
Compliance Program Template
Concentration of Credit Policy Template
Electronic Funds Transfer Policy Template
Equal Credit Opportunity Act Template
Fair Lending Template
UDAAP Template
Guide to Director Responsibilities

Other tools:

HMDA Resources:
Reportable HMDA Data: A Regulatory and Reporting Overview Reference Chart for HMDA Data Collected in 2021
Filing instructions guide for HMDA data collected in 2021 (October 2020)

FSSCC Cybersecurity Assessment Tool
NCUA Cybersecurity Resources Page
WA Affidavit of Successor (03/16)
Agent’s Certification to the Validity of Power of Attorney and Agent’s Authority
Certification Regarding Beneficial Owners of Legal Entity Customers
Credit Union Internal Control Requirements

FDIC
FDIC News & Events
Federal Reserve
FFIEC Geocode Map
FinCEN
FinCEN MSB Information
OCC
OCC News & Issuances

CFPB:
Regulations
eRegulations
HMDA Rule Implementation
TILA/RESPA
Outlook TRID Webinar Index

Department of Defense:
SCRA Record Request

FFIEC:
IT Examination Handbook
2014 BSA Exam

NCUA:
TIS
Accounting Manual
Consumer Compliance
Federal Credit Union Act
Regulatory Resources
Fair Lending Guide
Supervisory Committee Training Videos
Deterring, Preventing & Detecting Employee Dishonesty Videos
Cyber Security Resources