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  • Unlawful Internet Gambling Board approved policy
    Forum topic

    Does anyone have a board approved Unlawful Internet Gambling Policy as NCUA wrote us up saying we have to have one.  The regulation referenced needing policies and procedures and we do have procedures noting what we are doing, however we didn't interpret the regulation to say you had to have a Board approved policy.  Does anyone have one or know a template to refer to.

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  • MERS Annual Audit Report
    Forum topic

    Does anyone perform or know about the MERS (Mortgage Electronic Registration System) Annual Audit Report?  Would appreciate any information.

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  • Flash Mobs
    Forum topic

    I’ve been giving some consideration to these “Flash Mobs” that have been attacking retailers.  “What if they were to “Flash Mob” or “Flash ROB” one of our branches? What steps could or should we be taking.

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  • Audit Finding Status
    Forum topic

    My audit reports list the status of each finding and/or recommendation.After discussion with management I list the status as:     1.  Accept management response - The item is closed and no further action is necessary      2.  Unaccept management response - I contact management to discuss specific reasons and the item remains open     3.  Managment Decision - These items are closed as a management decision.  They are not policy, procedure or           regulatory exceptions.  They include a proposed best practice or other audit recommendations. The management team does not approve of the term

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  • Auditing fraud specialist procedures
    Forum topic

    Hi!  We have a fraud specialist position at our credit union.

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  • 5 consecutive workdays off
    Forum topic

    I have seen previous discussions about whether anyone is auditing the employee's job function when he or she is off during the five consecutive workdays.  Most auditors say they are not because of the time.  We are thinking of getting rid of this policy.  Can you respond if your credit union has this policy and the size of the credit union?  We are about 500 million in asset size.  thanks so much.

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  • Investments audit
    Forum topic

    Hi all,how many of you audit the investments for your credit union as well as have this completed by your external auditors.

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  • SCGA RFI and/or RFP
    Forum topic

    We are a $143 million federally chartered credit union in Lafayette, IN.  Our Supervisory Committee has recommended an RFI (request fro information) and then maybe follwoing up with an RFP for the SCGA.  I have done an RFP but not an RFI.  Has anyone done an RFI before?  Was it effective?  Do you include a request for fees and expenses with that?  Does the fee bid include consulting services?Our concerns relate to finding a CPA who can answer GAAP related questions (like the TDR issues) as part of the consulting kinds of services that may occur between the annual SCGAs.  We are also concern

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  • Risk Assessment for Safeguarding Member Information
    Forum topic

    How does your credit union identify risks associated with safeguarding member information to comply with NCUA Part 748 Appendix A?

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  • BSA Compliance Audit
    Forum topic

    This is the first year that I am doing this audit. We have outsourced it previously. Does anyone have a sample audit that I could use as a guide?

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