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The tools you’ll need to assess compliance programs and reduce risk.
The SAFE Act Audit Program and Monitoring tool provides comprehensive guidance and practical tools to help you evaluate SAFE Act compliance efforts and assess/reduce risk.
Contents and Tools Include:
External loan broker checklists help you track the mortgage files generated by your brokers to ensure that their registration status is in compliance
Utilizing these sample policies, senior management will be in a position to consider and document institution-specific benchmarks and establish guidance for evaluating and monitoring your audit program. The models are provided in Word files so that you can customize them to address your unique circumstances and help you minimize the risk your institution faces. You can quickly customize the files to your institution’s needs by inserting the name and data throughout the files.
Regulatory Compliance Associates, Inc. (REGCOM) was established in 1988 by Jerry Miller, president. Mr. Miller was formerly with Peat Marwick Main & Co., where he served as practice leader for the Midwest Financial Institutions Regulatory Compliance Consulting practice. In this role, Mr. Miller advised management and directorates of financial institutions on understanding and complying with banking regulations, including the development and implementation of formal policies and procedures. Prior to joining Peat Marwick, Mr. Miller served as an OCC field examiner and member of the OCC regional/district management team.
With a wide range of regulatory examination and financial institution experience, REGCOM’s staff has experience in assisting management and directorates of financial institutions on a number of focus areas, including understanding and complying with regulations, training, and assisting problem institutions. REGCOM’s publications cover a variety of management and regulatory focus areas, and guide management through the design and implementation of individual regulatory compliance programs for financial institutions of all asset sizes. REGCOM offers proactive information and solutions to all levels of staffing within the financial services industry. See all works by REGCOM