NCUA Compliance Self Assessment Guide

Introduction -

• Table of Contents
• Using This Guide
• Key Elements of an Effective Compliance Review Program

Bank Secrecy Act - (zip 256 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Children’s Online Privacy Protection Act- (zip 124 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Credit Practice Rule - (zip 93 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

E-sign - (zip 92 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Fair Credit Reporting Act - (zip 149 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Fair Debt Collection Practices Act - (zip 101 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Fair Housing Act - (zip 105 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Holder in Due Course
(Preservation of Consumer Claims and Defenses) - (zip 90 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Homeowner’s Protection Act - (zip 134 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Management Officials Interlocks - (zip 84 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

National Flood Insurance Act / Flood Disaster Protection Act - (zip 129 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Privacy of Consumer Financial Information - (zip 153 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Records Retention - (zip 93 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Servicemembers’ Civil Relief Act - (zip 73 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

B: Equal Credit Opportunity Act (Regulation B) - (zip 165 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

C: Home Mortgage Disclosure Act (Regulation C) - (zip 107 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

D: Reserves on Transaction Accounts (Regulation D) - (zip 123 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

E: Electronic Funds Transfer Act (Regulation E) - (zip 141 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

M: Consumer Leasing (Regulation M) - (zip 115 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

S: Reimbursement for Providing Financial Records
(Regulation S) - (zip 86 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

U: Credit by Bank or Persons other than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stocks (Regulation U) - (zip 112 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

X: Real Estate Settlement Procedures Act (Regulation X) - (zip 171 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

Z: Truth in Lending Act (Regulation Z) - (zip 254 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions

CC: Expedited Funds Availability (Regulation CC) - (zip 194 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions
• Miscellaneous: CC: Expedited Funds Availability

DD: Truth in Savings (Regulation DD) - (zip 162 KB)

• Overview and Operational Requirements of Laws and Regulations
• Review Considerations
• Checklists
• Glossaries / Definitions