Resources
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
Washington State:
Washington State Credit Union Rules
DFI – DCU
Consumer Compliance Exam Manual
RCW 9.46.0351 Promotional Contests of Chance
RCW 11.114 Uniform Transfers to Minors Act
RCW 30.22 Financial Institutions Individual Account Deposit Act
Washington State Marijuana Exam Procedures
Unclaimed Property
Promotional Contests: Promotional Contests of Chance, Essay Contests
Overview of the Legislative Process
Oregon State:
Chapter 723 – Credit Unions
Definitions, fees, membership, supervision, investments, powers, reserves
Share drafts, corporate credit union, member business loans
Division of Financial Regulation
Contests and Sweepstakes: Consumer Protection, ORS 646A.803, OAR 137-020-0410