Compliance Management Policy - $275.00


The purpose of this Compliance Management Policy Template is to address the Compliance Management Program of a bank, credit union, or other type of financial institution in order to adhere to all applicable laws, rules and regulations.  In general, an organization's Compliance Management Program is designed to prevent or reduce regulatory violations, protect consumers and customers from noncompliance and associated harms, decrease the costs and risks of litigation affecting revenues and operational focus, and help align business strategies with outcomes.

Table of Contents

Purpose and Contents - Topic 1
Policy Statement - Topic 2
Risk Management - Topic 3
Structure of Accountability and Responsibility - Topic 4
Consumer Compliance Rating System Reference - Topic 5
Responsible Business Conduct Standards - Topic 6
Treatment of Confidential Supervisory Information - Topic 7
Incentive Compensation Standards - Topic 8
Protection Principles for Consumer-Authorized Financial Data Sharing - Topic 9
Policies, Procedures and Processes - Topic 10
Training and Communication - Topic 11
Compliance Monitoring and Auditing - Topic 12
Forms Management - Topic 13
Centralized Compliance Information Resources - Topic 14
Complaint Policy - Topic 15

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

Recent updates to this product:
08/01/18 Update
OCC Bulletin 2018-18 - Revised Compliance Management Systems Booklet
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

This Compliance Management Policy Template (approximately 41 pages) is available to purchase from in Microsoft® Word format for $275.00.

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