Chaotic Solutions, LLC
office (740) 626-2535

The Bank Compliance Check Up Monitoring Program Website for Community Banks

Compliance Check Up

 

 

 

 

 

 

Use the Bank Compliance Check Up program to save time and take the guesswork out of compliance monitoring. This program requires Microsoft Office™, version 2010 or newer.

Ongoing monitoring is critical for your compliance program to be successful. The program will help you:

  • Determine if your compliance program is meeting requirements
  • Decide if your training is effective
  • Highlight strengths and spot weaknesses

Simply select the desired checklist, complete by answering Yes, No, N/A, add comments as applicable, and print the report. The report tells you which areas may need a follow up. Use the report to demonstrate to your Board and Management the effectiveness of your compliance program.

The current release of the Compliance Check Up includes the following checklists:

Administration

Administration

  • Right to Financial Privacy

  • Garnishment of Accounts

  • Lobby Notice

  • Regulation P Privacy

  • Bank Knowledge

Deposit

Deposit

  • Bank Secrecy Act Monetary Instruments

  • Bank Secrecy Act (CIP): 1020.220

  • Bank Secrecy Act: General 31 CFR 1000-1099

  • Regulation D

  • Regulation E Consumer Liability: 1005.6

  • Regulation E Initial Disclosures: 1005.7

  • Regulation E Change in Terms: 1005.8

  • Regulation E Receipts & Periodic: 1005.9

  • Regulation E Error Resolution: 1005.11

  • Regulation E ATM Disclosures: 1005.16

  • Regulation E Overdraft Services: 1005.17

  • Regulation E Payroll Card Accounts: 1005.18

  • Regulation E Gift Card Requirements: 1005.20

  • Regulation DD – Disclosure Requirements: 1030.3

  • Regulation DD – Account Opening Requirements: 1030.4

  • Regulation DD – Subsequent Disclosures: 1030.5

  • Regulation DD – Periodic Statement: 1030.6

  • Regulation DD – Payment of Interest: 1030.7 

  • Regulation DD – Overdraft Payment Disclosure: 1030.11

  • Regulation CC: Subpart B

  • Regulation CC: Subpart C – Collection of Checks

  • Regulation CC: Disclosure Requirements

Lending

Lending                                     

  • Appraiser Selection

  • Fair Housing Application Items

  • Fair Debt Collection

  • Flood Disaster Protection

  • Fair Lending

  • Home Mortgage Disclosure Act (HMDA)

  • Real Estate Settlement Protection Act: Section 1024

  • Registration of Mortgage Lenders

  • Regulation AA

  • Servicemember Civil Relief

  • Fair Credit Reporting: Section 660

  • Fair Credit Reporting: Part 660 Frivolous or Irrelevant Dispute

  • FCRA Risk Based Pricing

  • Regulation Z: General Disclosures 1026.5

  • Regulation Z 1026.9

  • Regulation Z: Right of Rescission Open End 1026.15

  • Regulation Z: General Disclosure Requirements Closed End 1026.17

  • Regulation Z: Content of Disclosures 1026.18

  • Regulation Z: Certain Residential Mortgage and Variable Rate Transactions 1026.19

  • Regulation Z: Right of Rescission Closed End 1026.23

  • Regulation Z: Mortgage Transfer Disclosures 1026.39

  • Regulation Z: Valuation Independence 1026.42

  • Regulation Z: Sections 1026.52 and 1026.59

  • Regulation B: Applications and Prohibited Bases

  • Regulation B: Notification 1002.9

  • Regulation B: Monitoring Information 1002.13

IT / Tech / Security

IT / Tech / Security

  • Bank Protection

  • Children’s Online Privacy Protection Act (COPPA)

  • Safeguarding Customer Information

  • Website Review

 

Related resources

  • The program works in Microsoft Excel, version 2010 or newer.
  • The program has four modules - Administration, Deposit, Lending, and IT / Tech / Security
  • Makes it easy to keep track of your Compliance Monitoring.

Click Me for an example Check List