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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
FDIC aims to help community banks manage regulatory responsibilities
Jul. 31, 2014
The FDIC has published an article entitled "Alternatives to Consultants: Meeting Regulatory Expectations with Internal Resources" which...
FinCEN proposes rules to increase CDD requirements
Jul. 31, 2014
FinCEN has published a notice of proposed rulemaking to amend existing BSA regulations to help prevent the use of anonymous companies...
CFPB releases toolkit for financial services
Jul. 31, 2014
The CFPB has announced the availability of "Your Money, Your Goals," a new field-tested toolkit for financial services programs.
FHFA extends G-Fee comment deadline
Jul. 30, 2014
The FHFA has extended the deadline to Sept. 8, 2014 for its request for input on the guarantee fees that Fannie Mae and Freddie Mac...
CFPB comment period extended
Jul. 30, 2014
The CFPB has extended the comment period on its proposal to give consumers the option to share the stories behind their complaints in...
FDIC clarifies position on TPPP accounts
Jul. 29, 2014
The FDIC has issued FIL-41-2014 to clarify its supervisory approach to institutions establishing account relationships with third-party...
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 www.wisbank.com/basel3info.

The FDIC also released a variety of resources that can be found at http://www.fdic.gov/regulations/capital/sessions.html .

  
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 www.wisbank.com/BestPractices.

  
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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