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Library:
Compliance Tools
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Chart
of Records Retention (Section E)
The chart
of records is provided as a quick reference that can be used when
preparing a record retention schedule. The retention periods provided
should only be used as a guide. It is important that state requirements
be included in any schedules developed. This is not necessarily
a comprehensive listing of all record retention requirements for
all financial institutions. (Revised
11/2007)
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Definitions
of Depository Institutions
(Section B)
Depository
institutions may be classified in three broad categories -- banks,
thrifts, and credit unions. This section of the Reference Guide
describes how each institution is chartered, the regulator
responsible for supervising each type of institution, and the
deposit insurance each institution carries. (Revised
11/2007)
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Descriptions
of Regulatory Agencies (Section
C)
This document identifies the major regulatory agencies,
whom they regulate, the extent of their authority, and the laws
they primarily administer. It also contains
a
table of address and contact information for federal and state regulatory
and insurance agencies, as well as a listing of leaders of the various
regulatory agencies. (Revised
11/2007)
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Summary
of Selected Federal Regulations
(Section D)
This document provides a brief overview of the impact,
exemptions, requirements, and terminology associated with the primary
regulations with which a compliance officer must ensure compliance.
(Revised 11/2007)
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