Top 200 Compliance Questions and Answers

Author: Patsy Parkin and Jennifer Bailey
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Get answers to the most problematic compliance issues at your fingertips!

The Top 200 Compliance Questions and Answers is a handy off-the-shelf reference guide to help you respond to the most common compliance questions that arise daily. The questions have been selected by the authors based on those areas that their banking colleagues have found most problematic, and the answers are supported with regulatory citations.

Compliance professionals with over forty years of hands-on compliance experience have selected only those questions that often create confusion for the compliance staff. We then provide answers that will clearly explain how to proceed in compliance with the regulatory requirement.

In this easy-to-use handbook, we have grouped the questions into three sections:

Loan Compliance Regulations
Deposit Compliance Regulations
Bank Secrecy Act

Find the answers you need quickly — No more searching through citations!

We’ve included a detailed Table of Contents that lists each question, the regulation it falls under, and the page number.

About the Authors

Patsy B. Parkin, CRCM

Patsy Parkin has 28 years of experience in bank regulatory compliance and serves as a legal assistant for bank compliance services for Butler Snow O’Mara Stevens & Cannada of Jackson, Mississippi. She was formerly vice president and compliance officer with Deposit Guaranty Corporation, where she was responsible for maintaining compliance with applicable consumer laws and regulations and for conducting training. Ms. Parkin currently provides support for the Mississippi Regulatory Compliance Group and Mid-South Regulatory Compliance Group and conducts training, loan and deposit compliance reviews, Regulation O reviews, fair lending reviews, Bank Secrecy Act reviews, and CRA reviews for certain Mississippi, Tennessee, Louisiana, Arkansas, and Alabama banks. She has also received designation as a certified regulatory compliance manager,

Patsy has authored or co-authored several books for Sheshunoff Information Services and Thompson Financial, including the Compliance Officer’s Management Manual, Real Estate Lending Compliance Manual, and the Regulatory Compliance Certification Program.

Jennifer Bailey, CRCM

Jennifer joined Butler Snow in January 2005 as a legal assistant with the Financial Services Group in the Memphis office. She provides support for the Mid-South Regulatory Compliance Group and conducts training, deposit and loan reviews, Regulation O reviews, fair lending reviews, Bank Secrecy Act reviews, and CRA reviews for banks in Tennessee and Mississippi.

Prior to joining Butler Snow, Jennifer was employed with Union Planters Corporation. She has over a decade of experience in the field of banking, and six years’ experience with the oversight and management of regulatory compliance for many of the bank’s activities, including nondeposit investments and insurance sales programs, corporate marketing activities, Internet banking, privacy regulations, TIN rules and abatement of penalties, and trust department and consumer affiliate activities.