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Research & Compliance     

LATEST RESEARCH ITEMS OF INTEREST...

Research & Compliance

The answers you need—when you need them!
When technical challenges or complex situations arise at your credit union, turn to the Leagues’ Research & Information (R&I) Department. Our mission is to provide technical, compliance, operational, economic, and regulatory information in an understandable and easily accessible way.
     
InfoSight CU PolicyPro Rate Map
 
Credit Union Quarterly Performance Report

A resource for credit unions in CA & NV, providing credit union financial and economic trend analysis, brought to you by your Leagues in partnership with CUNA & Affiliates.

Ask R&I

Answers to your crucial questions can be less than one business day away. Post your question here, and a talented R&I professional will get back to you quickly! Or if you prefer, call the R&I Hotline to speak directly with our knowledgeable consultants. R&I Hotline: 877-243-5728
Continue for Ask R&I

 
TIPs Bulletins
The Technical Information Procedure (TIPs) bulletins are great tools to help credit union staff understand recent changes in laws and regulations and how they may affect the credit union. TIPs bulletins address current mandatory compliance issues and changes to federal and state regulations. Continue for complete list of current TIPs Bulletins
March 25, 2015
TIPs Bulletin #15-06 Foreign Language Translation Forms Revisions
TIPs Bulletin #15-05 NCUA Issues Warning to Consumers about “National Credit Union” Phishing Scam
   
January 28, 2015
TIPs Bulletin #15-04 2014 Residential Mortgage Loan Report
TIPs Bulletin #15-03 HMDA/LAR Reports
   
January 16, 2015
TIPs Bulletin #15-02 2015 Information Returns and Disclosures
   
 
CURoots Services

Shared Compliance Services
CURoots offers a variety of services to help you keep pace with ever-changing regulatory compliance while you focus on day-to-day credit union business.

Internal Audit Services
CURoots can help your credit union identify potential issues, assess risk, and save valuable time and resources by providing expert assistance for your auditing needs.


From the Editors of CU Weekly

RESIDENTIAL MORTGAGE REPORT DUE
updated 03/17/14 04:40 PM
Also, SEC Initiative and Fed Webinar
The California Department of Business Oversight (DBO) recently issued a notice to California licensed credit unions regarding loan reports, while the Securities and Exchange Commission (SEC) announced a new adviser initiative. Additionally, the Federal Reserve is holding a webinar to help credit unions improve their compliance programs.

Residential Mortgage Loan Report
In accordance with Section 7119 of Title 21 of the California Code of Regulations, the Residential Mortgage Loan Report is due March 31 for all residential mortgage lenders that are not reporting to a federal or state regulatory agency as provided by the Home Mortgage Disclosure Act of 1975.

Click here for the notice from the DBO, the Holden Act Report, and other information.

Securities and Exchange Commission Initiative
For credit unions that have SEC-registered investment advisers, the agency has announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at investment advisers that have never been examined—focusing on those that have been registered with the SEC for three or more years.

These examinations will concentrate on the advisers' compliance programs, filings and disclosure, marketing, portfolio management, and safekeeping of client assets.

Click here for more information.

Federal Reserve Outlook Live Webinar
The Federal Reserve Board of Governors is hosting free webinar titled Consumer Compliance Management Program—Common Concerns and Best Practices on April 10 from 11 a.m.–12 p.m. (Pacific).

During the webinar, the Fed will:

  • Discuss how a financial institution can implement and maintain an effective consumer compliance management program
  • Address common concerns
  • Share best practices
  • Highlight various components of a successful compliance program

For more information and to register, click here.

 
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'POLICYWORKS' LAUNCHES THIS MONDAY
updated 05/22/15 10:33 AM
Also, New TIPs Bulletins Posted
Your access to PolicyWorks begins this Monday, June 1—a benefit that will connect your everyday regulatory compliance questions to an extensive network of experts who will provide the right answers.

Click to view the complete story

COMING SOON TO CUs: 'POLICYWORKS'
updated 05/18/15 02:44 PM
Also, Two FinCEN Announcements
Members of the California and Nevada Credit Union Leagues will have access to an extensive network of experts to answer their regulatory compliance questions when the Leagues’ Research and Information (R&I) Department transitions to PolicyWorks on June 1.

Click to view the complete story

D.J.'s Economix
Leagues Chief Economist Dwight Johnston continually provides economic and market analysis that is both informative and entertaining. Continue for daily and monthly commentary, rate forecasts, and economic updates.
Resources
Scroll through a variety of practical resources to help with BSA, compensation, compliance, disaster preparedness, regulatory exams, and more.
Comment Letters
The Leagues write letters in response to proposed legislation and regulations that affect your credit union’s ability to serve members.