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We have included the following "Compliance Tools" for easy reference. Each document is in Adobe .pdf format. Adobe Acrobat Reader is available as a free download from  www.adobe.com.

  1. CIP Quick Reference Chart - Countries of Concern - 02/18/2014 (Legal)

  2. CIP Quick Reference Chart - Countries of Concern - 02/18/2014 (Letter)

  3. HMDA Reportable Or Not?

  4. Reg E Error Resolution Flowchart

  5. Reg E Error Resolution Date Chart 2013

  6. Reg E Error Resolution Date Chart 2014

  7. Reg E Visa and MasterCard Date Chart 2014

  8. Reg CC Hold Periods 2014 with Expiration plus 5 days

  9. Reg CC Hold Periods 2014 with Expiration

  10. Reg CC Hold Periods 2014 without Expiration plus 5 days

  11. Reg CC Hold Periods 2014 without Expiration

  12. Reg CC Hold Periods 2013 with Expiration

  13. Reg CC Hold Periods 2013 without Expiration

  14. Reg CC Quick Reference Chart  

  15. USA PATRIOT Act 314(a) Information Requests

  16. Transaction Limitations for Savings and MMDA Accounts

  17. HMDA LAR Quick Reference

  18. Anti-Money Laundering Training Guides

  19. South Carolina Account Ownership Matrix

  20. North Carolina Account Ownership Matrix

  21. Customer Identification Procedures

  22. CIP Department Questionnaire

  23. CIP Acceptable ID Documents

  24. CIP Procedures Quick Reference Guide

  25. CIP Verification Documents

    A. Verification Requirements

    B. Recommended Account Restrictions

    C. Identification Verification Recommendations

  26. Sample CIP Disclosures

  27. CIP Processing Flowcharts

    A. Adobe Format

    B. PowerPoint Format

  28. Sample Notarized Identification Document

  29. MSB Questionnaire

  30. MSB Risk Assessment

  31. BSA AML Overall Bank Risk Assessment

  32. Commercial Customer Due Diligence Questionnaire

  33. Commercial Customer Due Diligence Risk Assessment

  34. OFAC Overall Bank Risk Assessment

  35. BSA-AML Task List

  36. Personal Customer Risk Assessment

  37. Comparison of New Reg Z Categories

  38. Mortgage Loan Application Process Flowchart

  39. RESPA GFE Flowchart

   

 

 

 

 

 

 

 

 

            

      

This page last updated February 18, 2014