Comprehensive and reliable, the ABA Compliance Audit Manual provides the crucial audit and compliance information you need to proactively manage and implement your client’s compliance audit program. This easy-to-use Internet resource gives you quick access to helpful, timely data and process improvements.
The ABA Compliance Audit Manual gives you step-by-step guidelines for developing and conducting your client’s audit, conveniently grouped into 11 functional areas, including compliance audit programs, marketing and advertising, deposit, community reinvestment and fair lending, open-end credit accounts and much more. Internal control questionnaires and audit procedure checklists lead you from program creation through compliance.
With the ABA Compliance Audit Manual, you’ll have access to all of the regulations you need for a complete compliance audit. From Reg. AA to Reg. Z, our summaries give you a full reference to the requirements that affect your audit function. Full text of relevant laws and regulations are included, as well as Federal Register updates. Quarterly updates identify changes in the laws and regulations that might trigger the need for changes in processes, helping avoid fines and expensive corrective actions.
Advanced search functions help you quickly locate any information by law/regulation or by keyword/phrase. Search terms are highlighted for easy reference.
And you’ll receive a special supplement with your subscription—A Review of Consumer Laws and Regulations, providing detailed summaries of the major laws and regulations in the areas of consumer compliance.
Let the ABA Compliance Audit Manual help you develop and manage a successful compliance audit program.
Table of Contents
Acknowledgments
Part 1–Audit Program Development and Techniques
Chapter 1 Developing the Compliance Audit Program
Chapter 2 Developing the Individual Audit
Chapter 3 Sampling
Part II–Functional Audit Programs
Chapter 4 Compliance Program Audit
Chapter 5 Marketing and Advertising Audit
Chapter 6 Deposits Audit
Chapter 7 Community Reinvestment and Fair Lending Audit
Chapter 8 Lending Audit
Chapter 9 Open-End Credit Accounts Audit
Chapter 10 Real Estate Lending Audit
Chapter 11 Consumer Leasing Audit
Chapter 12 Financial Recordkeeping Audit
Chapter 13 Securities Activities Audit
Chapter 14 Trust Services Audit