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WBA Compliance Center

The WBA Compliance Center is designed to highlight the services your bank can use to stay on top of the various compliance issues you will soon be facing.

The recently passed federal financial regulatory reform bill (Dodd-Frank Wall Street Reform and Consumer Protection Act) will deeply affect the future of the banking industry in Wisconsin. It has been conservatively estimated that the Dodd-Frank bill will generate 5,000 pages of new rules. Banks will be subject to at least 30 new or expanded regulations as a result of the enactment of the most sweeping rewrite of banking laws since the Great Depression. This will add to banks’ already high compliance costs and limit revenue opportunities.

Let WBA help you. Use the resources listed on this page to keep your compliance issues under control.


Regulators Offer Insights on Exam Focus

On behalf of its membership, the Wisconsin Bankers Association invited the Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, Federal Reserve Banks of Chicago and Minneapolis, and the Wisconsin Department of Financial Institutions to submit articles for the May edition of Wisconsin Banker. These articles offer, in the regulators’ own words, insight on the specific issues they are focusing on during both safety/soundness exams and compliance exams in the near future as well as emerging issues for Wisconsin banks. Read the special report Wisconsin Banker Regulator’s Review.


Latest Compliance News
CFPB issues mortgage servicing transfers bulletin
Aug. 20, 2014
The CFPB has issued Bulletin 2014-01 to outline expectations for mortgage servicers that transfer loans.
SEC exams will apply to municipal advisors
Aug. 20, 2014
The SEC recently sent a letter to newly registered municipal advisors explaining its approach to upcoming compliance exams over the...
FDIC updates national rates
Aug. 19, 2014
The FDIC has updated its weekly national rates and rate caps.
OCC increases SCRA focus
Aug. 19, 2014
The OCC has announced that the agency has stepped up its focus on SCRA compliance during examinations.
FRB updates BHC Supervision Manual
Aug. 18, 2014
The FRB has posted the semi-annual updates of its Bank Holding Company Supervision Manual.
FDIC, Fed announce additional resolution plan guidance
Aug. 18, 2014
The Federal Reserve and FDIC have announced the publication of additional guidance to firms that in December will be filing resolution...
Read more in the archive
WBA Basel III Resource Center

The WBA has collected a variety of resources regarding Basel III in our WBA Basel III Resource Center. This members only password protected area of our site will continue to be updated as we receive information on Basel III so please be sure to frequently check the page. Members can visit the page at

The FDIC also released a variety of resources that can be found at .

Best Practices Library Now Open

WBA’s Best Practices Library is now open with over 75 resources including model forms, affidavits and even sample presentations for use in speeches! WBA's banker-driven committees have developed a variety of best practices for the use of WBA's members. Access this virtual library of free resources at

Compliance Toolkits

As part of an ongoing effort to assist members with compliance efforts, WBA is adding a variety of compliance toolkits to its collection.

The latest is the WBA Third-Party Securities Networking Relationships Toollkit. Available free of charge, this toolkit, created by the Boardman Law Firm, details what bankers should know about broker-dealers providing services on bank premises.

Download any the kits below by clicking here.

WBA Third-Party Securities Networking Relationships Toolkit

WBA Executive & Incentive Compensation Toolkit

WBA FDIC Insurance Changes for Noninterest-bearing Transaction Accounts Toolkit

WBA SAFE Act Toolkit

WBA Dodd-Frank Toolkit

ABA Dodd-Frank Tracker

This regulatory reform calendar provided by the American Bankers Association organizes content into three categories: comment letter deadlines; effective and implementation dates; and hearings and meetings.

View calendar

WBA Compliance Journal

The WBA Compliance Journal is intended to provide accurate information in regard to the subject matter covered as of the date of publication; however, the information does not constitute legal advice. Click to read a preview of the latest issue of the WBA Compliance Journal.

Legal Q&A

The information provided in these articles is not intended to provide legal advice; rather, it is intended to provide general information about banking issues. Consult your institution’s attorney for special legal advice or assistance. Read Legal Q&A articles.

WBA Models

Model Pandemic Influenza Plan available
(Updated June 2009 with information on the H1N1 flu virus, and more)
Given the need for financial institutions to create a plan, WBA has prepared a model pandemic influenza plan for WBA members. The model is designed to be used on its own or as part of an institution's broader disaster recovery plan. Since the plan is intended as a model only, it must be customized by each financial institution to their specific situation prior to its implementation and use. Download the model here.

Education Opportunities
WBA Forms

WBA forms offered by FIPCO have been accepted as standard by bank regulatory agencies, attorneys and the Wisconsin judiciary. In conjunction with legal counsel, these forms are developed and reviewed and constantly updated by the WBA Drafting Team, helping to ensure compliance with State and Federal regulations.


Electronic Forms
Electronic files of commonly used WBA forms are available in various formats. These WBA form images are available using Microsoft® Word, Adobe Reader or other third party software systems. The images, or eForms, can be electronically filled out and printed.

WBA Hard Copy Forms
Over 430 forms relating to consumer, real estate, commercial, agricultural and municipal loans; deposit accounts; safe deposit boxes; and deposit and operations are available. Forms are purchased by financial institutions, dealerships, attorneys and realtors.

More information is available here. For more information contact FIPCO Sales.

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