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  • External Compliance Assistance
    Forum topic

    Hello,

    We have a full-time compliance officer who uses various sources for compliance assistance, including contacting the Virginia Credit Union League, other credit unions’ compliance officers, CUNA, and our attorneys (Kaufman and Canoles). We are evaluating the benefits of utilizing a compliance-consulting group for regulatory assistance (i.e., for special/new advertisements, when we want a second opinion about a disclosure or interpretation regarding a law/regulation, etc.).

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  • NCUA FAir Lending
    Forum topic

    Hello,Has anyone had an NCUA Fair Lending examination the the last 3 years?  A yes/no response will be greatly appreciated.Thank you.

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  • Mergers - To Be Involved or Not To Be Involved
    Forum topic

    We are in the initial exploratory phase of potentially merging with another credit union.  The CEO is trying to decide if he wants to approach the Supervisory Committee and request approval to include the Internal Auditor (me) with the due diligence group. For those who have been through a merger, what was your expectations?  Were you included from the beginning or insulated from the entire process?  Did you do an audit on the merger process or not? Thanks, Randy Brackman, Internal Auditor 503-728-6115     randy@waunafcu.org 

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  • Journal Entry Review
    Forum topic

    Our Controller is looking for a best practice to implement regarding the review of journal entries to look for inappropriate entries.  Does anyone have a good practice for completing these reviews at your CU?Also, what is your CU's practice for storing and retrieving copies of entries?  Anyone imaging them at the end of the month?Thanks. 

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  • ERM
    Forum topic

    With recent NCUA interest in risk assessment and tracking, more and more institutions have established ERM risk departments.  Has anyone completed a third party ERM audit? If so, with whom?  Thank you for your response.

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  • Board Benefits
    Forum topic

    What benefits do you offer to your Board of Directors - Long Term Care, health benefits, PCs/IPADs etc?  I would also be interested if you offer none. Do you reimbursement mileage to meetings?

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  • AUTOAUDIT
    Forum topic

    We are $350M and are expected to be $500 in 2 years. We do not have an automated program to help us organize our audits. We attended a webinar for AUTOAUDIT. What is another program that we could get a 2nd bid? Would you recommend? Thanks. Beronica.Noriega@R1CU.Org

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  • Record Retention - Marketing raffles
    Forum topic

    Hi folks!  My Marketing Manager asked me to pose a quesiton to the group...How long does your CU retain results from sweepstakes, prize raffles and the like?  Thanks~Ana

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  • Mortgage- Subsequent Action
    Forum topic

    Our collection manager with the approval of the Dir of Lending, approved a subsequent action to skip a loan payment. Our policy clearly indicates no Skip Payments on HE/Mortgages/HELOCS. By them doing this, is this considered a modification that would need to be reported in the Call Report? Where they suppose to redo some of the loan docs because it was a mortgage? I am not familiar in this area. Thanks.

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  • Fraud Audit
    Forum topic

    Hi allI am looking for some new areas to audit for Fraud. In past years I have looked at the process for monitoring accounts for fraud (including check kiting, forgeries, hight risk transactions, wires, debit and ATM transactions), SAR reporting and the Employee Code of Ethics and Conduct Policy. Anything new or interesting I should be looking at? any help would be appreciated as the staff who are responsible for this area have been here a number of years and have the processes and procedures in good order.thanks for any suggestions,

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