Compliance Management Policy - $275.00


The purpose of this Compliance Management Policy is to address a financial institution's Compliance Management Program in order to adhere to all applicable laws, rules and regulations.

Table of Contents

Purpose and Contents - Topic 1
Policy Statement - Topic 2
Consumer Compliance Rating System Reference - Topic 3
Structure of Accountability and Responsibility - Topic 4
Compliance to Regulations - Topic 5
Policies, Procedures and Processes - Topic 6
Training and Communication - Topic 7
Compliance Monitoring and Auditing - Topic 8
Forms Management - Topic 9
Centralized Compliance Information Resources - Topic 10
Complaint Policy - Topic 11

Includes the following form templates:
Complaint Log (1 page)
Complaint Report (1 page)

Recent updates to this product:
11/01/17 Update
Consumer Protection Principles for Consumer-Authorized Financial Data Sharing and Aggregation
06/05/17 Update
Uniform Interagency Consumer Compliance Rating System
01/03/17 Update
Detecting and Preventing Consumer Harm from Production Incentives
02/01/16 Update
Revised Compliance Examination Manual
03/09/15 Update
Existing Legal Responsibilities Regarding Treatment of Confidential Supervisory Information

This policy template (approximately 41 pages) is available to purchase from in Microsoft® Word format for $275.00.

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