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QUESTION
There are three compliance templates posted in reading assignments this week. As a model, they do not contain the name of financial institution, unit, or a person responsible for the compliance report
There are three compliance templates posted in reading assignments this week.
As a model, they do not contain the name of financial institution, unit, or a person responsible for the compliance reporting or in charge of the compliance policy and procedure.
- Please download each of the three templates
- Please review them as part of this week's reading assignment
- Then simply replace each template's empty firm name to "Utica College Federal Credit Union," unit as either "Compliance" or "Fraud Investigation" depending on the template, the blank individual name to "your name" and a job title as "compliance officer."
- Save and submit the three completed compliance program policy
Files:
Fraud Control Policy_Template_Short Version.docx, BSA_AML Compliance Template_FINRA.doc, FCPA_Compliance Template.docx, Fraud Control Policy_Template_Short Version.docx
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******* Compliance *****************