SCHEDULED FOR TESTING: “ “
1ST QTR
2ND QTR
Equal Credit Opportunity Act; Regulation B, 12 CFR 202 (Self-Evaluation of the Fair Housing Act and Equal Credit Opportunity Act) Fair Housing Home Loan Data System; 12 CFR 27 Fair Housing Act; 42 USC 3605 Fair Credit Reporting Act; 15 USC 1681 Truth in Lending Act; Regulation Z, 12 CFR 226 Community Reinvestment Act; 12 CFR 25 CRA Sunshine Requirements; Gramm-Leach-Bliley Act of 1999; Section 711 Servicemembers Civil Relief Act; Pub. L. 108 189 Home Mortgage Disclosure Act; Regulation C, 12 CFR 203 Flood Disaster Protection Act; 42 USC 4012a Loans in Areas Having Special Flood Hazards; 12 CFR 22 Real Estate Settlement Procedures Act; HUD Regulation X, 24 CFR 3500 Homeowners Protection Act of 1998; 12 USC 4901 Electronic Funds Transfer Act; Regulation E, 12 CFR 205 Right to Financial Privacy Act, 12 USC 3401 Fair Debt Collection Practices Act; 15 USC 1692 Unfair or Deceptive Acts or Practices; Regulation AA, 12 CFR 227 Expedited Funds Availability Act; Regulation CC, 12 CFR 229
ATLANTA
| KANSAS CITY | KNOXVILLE | NASHVILLE | TAMPA BAY (800) 270-9629 | www.pyapc.com
3RD QTR
4TH QTR
NOT SCHEDULED FOR TESTING AND DETERMINED TO BE LOW RISK: “LR” OR “N/A”
CONSIDERED FOR REGULATORY COMPLIANCE TESTING: “YES” OR “NO”
REGULATORY COMPLIANCE CHECKLIST
SCHEDULED FOR TESTING: “ “
1ST QTR
2ND QTR
Truth in Savings; Regulation DD, 12 CFR 230 Reserve Requirements of Depository Institutions; Regulation D, 12 CFR 204 Prohibition Against Payment of Interest on Demand Deposits; Regulation Q,12 CFR 217 Loans to Executive Officers, Directors, and Principal Shareholders; Regulation O, 12 CFR 215 Minimum Security Devices and Procedures, Reports of Suspicious Activities, And Bank Secrecy Act Compliance Program; 12 CFR 21 Advertisement of FDIC Membership; 12 CFR 328 Payment Systems Risk/Daylight Overdrafts, Federal Reserve Policy Corporate Business Resumption and Contingency Planning, OCC BB 97-23 Appraisal Standards (Section XI of FIRREA); 12 CFR 34, Sub-part C Consumer Leasing; Regulation M, 12 CFR 213 Interagency Policy Statement on Retail Sales of Nondeposit Investment Products; OCC Bulletin 94-13 U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) Compliance Consumers Right to Financial Privacy, Gramm-Leach-Bliley Act of 1999; Title V Regulation P, 12 CFR 216 Interagency Guidelines Establishing Standards for Safeguarding Customer Information; 12 CFR 30 Prohibition on Funding of Unlawful Internet Gambling SAFE Act
ATLANTA
| KANSAS CITY | KNOXVILLE | NASHVILLE | TAMPA BAY (800) 270-9629 | www.pyapc.com
3RD QTR
4TH QTR
NOT SCHEDULED FOR TESTING AND DETERMINED TO BE LOW RISK: “LR” OR “N/A”
CONSIDERED FOR REGULATORY COMPLIANCE TESTING: “YES” OR “NO”
REGULATORY COMPLIANCE CHECKLIST
