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Compliance Huddle

Compliance Huddle. november 2016. Today’s Agenda . Recent Exams Election results Withdrawn Applications TRID DOL Fiduciary Rule. Recent Exams. Does anyone currently have examiners on-site? Is there a change in the type of information being requested?

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Compliance Huddle

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  1. Compliance Huddle november 2016

  2. Today’s Agenda • Recent Exams • Election results • Withdrawn Applications • TRID • DOL Fiduciary Rule

  3. Recent Exams • Does anyone currently have examiners on-site? • Is there a change in the type of information being requested? • What is the focus of the on-site? Compliance/Safety and Soundness/IT/CRA • Has anyone just been through an exam or recently received their ROE? • Has examiner “tone” changed from the last on-site? • Are the reports giving credit where credit is due, or if there were concerns, are the reports written in such a way that the regulators are seemingly sympathetic or more demanding? • What are some of the areas of focus?

  4. Election results • Expected agenda

  5. Withdrawn Application • How are others defining “expressly withdrawn” applications • What are the rules?

  6. TRID • What’s on your minds?

  7. DOL Fiduciary Rule • Put on hold? • Moving forward with the requirements?

  8. Residential Mortgage Escrow Account • Reminder – We are having a training webinar on this subject Thursday November 17 at 2:30-3:30 (CT)

  9. Anything Else on Your Mind…

  10. Questions? Thank you for your participation and input into the conversation! If you have any additional questions, contact Compliance Alliance at hotline@compliancealliance.com or 888-353-3933.

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