Regulatory Compliance

Regulatory content, frameworks, risk and control libraries, and standards

Guidance, regulations, and controls to quickly set-up your regulatory compliance programs

Galvanize’s regulatory content helps meet your compliance obligations allowing you to better protect your organization by highlighting emerging risks while staying ahead of the latest regulatory requirements. We’ve curated content toolkits by industry and integrated them into the HighBond platform saving you time and improving collaboration between your three lines of defense.

Included in the Content For Regulatory Compliance

Browse by toolkit

A toolkit is a curated set of tools aimed at addressing one area of risk or compliance.

For example, a toolkit might include a set of data analytics, a risk control framework, and a best practices program.

Banking Compliance

Regulatory content and guidance for Banks and Credit Unions, including:

  • Availability of Funds and Collection of Checks - 12 CFR 229 (FRB Regulation CC)
  • Bank Holding Company Act (BHCA) - 12 CFR 225 (FRB Regulation Y)
  • Bank Secrecy Act/Anti-Money Laundering (FFIEC 2014)
  • BCFP Reg DD - Truth in Savings (12 CFR 1030)
  • BCFP Reg F - Fair Debt Collection Practices Act (12 CFR 1006)
  • BCFP Reg G - S.A.F.E. Mortgage Licensing Act - Federal Registration of Residential Mortgage Loan Originators (12 CFR 1007)
  • BCFP Reg H - S.A.F.E. Mortgage Licensing Act - State Compliance and Bureau Registration System (12 CFR 1008)
  • BCFP Reg M - Consumer Leasing (12 CFR 1013)
  • CANSPAM Act Examination Procedures (FDIC 2014)
  • CFPB Electronic Funds Transfer Act (EFTA) 2013
  • CFPB Unfair, Deceptive, or Abusive Acts or Practices 2012
  • Community Reinvestment Act and Interstate Deposit Production Regulations (12 CFR 25)
  • Community Reinvestment Act (CRA) - 12 CFR 228 (FRB Regulation BB)
  • Debit Card Interchange Fees and Routing - 12 CFR 235 (FRB Regulation II)
  • Debt Collection (CFPB 2012)
  • Debt Collection Practices (15 U.S.C. 1692)
  • Electronic Funds Transfer Act (EFTA) - 12 CFR 1005 (FRB Regulation E)
  • Electronic Signatures in Global and National Commerce (15 USC Ch. 96)
  • Equal Credit Opportunity Act - 12 CFR 1002 (CFPB Regulation B)
  • E-SIGN Act Examination Procedures (FDIC 2014)
  • Fair Credit Reporting Act (CFPB Regulation V)
  • Fair Housing Act (42 U.S.C. 45)
  • Flood Disaster Protection Act (OCC 2017)
  • FRS Reg H - Membership of State Banking Institutions in the Federal Reserve System (12 CFR 208)
  • GLBA Privacy Examination Procedures (CFPB 2016)
  • Gramm-Leach-Bliley Act (CFPB Regulation P)
  • Home Mortgage Disclosure Act (HMDA) - 12 CFR 1003 (CFPB Regulation C)
  • Homeowners Protection Act (12 U.S.C 49)
  • Homeowners Protection Act (FDIC 2015)
  • Interagency Fair Lending (FFIEC 2009)
  • Interagency Truth in Lending Act (CFPB 2018)
  • Interagency Truth in Savings Act (CFPB 2012)
  • Loans to Executive Officers, Directors, and Principal Shareholders of Member Banks (12 CFR 215)
  • Military Lending Act (CFPB 2016)
  • Military Lending Act - Limitations on Terms of Consumer Credit Extended to Service Members and Dependents (32 CFR 232)
  • Minimum Security Devices and Procedures, Reports of Suspicious Activities, and Bank Secrecy Act Compliance Program (12 CFR 21)
  • Mortgage Origination (CFPB 2015)
  • Privacy of Consumer Financial Information (12 CFR 1016)
  • Prohibition on Funding of Unlawful Internet Gambling (12 CFR 233)
  • Real Estate Settlement Procedures Act (RESPA) - 12 CFR 1024 (CFPB Regulation X)
  • Reserve Requirements of Depository Institutions - 12 CFR 204 (FRB Regulation D)
  • Restrictions on use of telephone equipment (47 USC 277)
  • S.A.F.E Act (CFPB 2012)

Financial Services Compliance

Regulatory content and guidance for Financial Services Institution, including:

  • FinCEN (31 CFR 1010) - General Provisions
  • FinCEN (31 CFR 1021) - Rules for Casinos and Card Clubs
  • FinCEN (31 CFR 1022) - Rules for Money Services Businesses
  • FinCEN (31 CFR 1023) - Rules for Brokers or Dealers in Securities
  • FinCEN (31 CFR 1024) - Rules for Mutual Funds
  • FinCEN (31 CFR 1025) - Rules for Insurance Companies (31 CFR 1025)
  • FinCEN (31 CFR 1026) - Rules for Futures Commission Merchants and Introducing Brokers in Commodities
  • FinCEN (31 CFR 1027) - Rules for Dealers in Precious Metals, Precious Stones, or Jewels
  • FinCEN (31 CFR 1029) - Rules for Loan or Finance Companies
  • FinCEN (31 CFR 1030) - Rules for Housing Government Sponsored Enterprises
  • FinCEN (31 CFR 1060) - Provisions Relating to the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
  • Bank Secrecy Act/Anti-Money Laundering (FFIEC 2014)
  • BCFP Reg F - Fair Debt Collection Practices Act (12 CFR 1006)
  • BCFP Reg G - S.A.F.E. Mortgage Licensing Act - Federal Registration of Residential Mortgage Loan Originators (12 CFR 1007)
  • BCFP Reg H - S.A.F.E. Mortgage Licensing Act - State Compliance and Bureau Registration System (12 CFR 1008)
  • BCFP Reg M - Consumer Leasing (12 CFR 1013)
  • CFPB Electronic Funds Transfer Act (EFTA) 2013
  • CFPB Unfair, Deceptive, or Abusive Acts or Practices 2012
  • Debt Collection (CFPB 2012)
  • Debt Collection Practices (15 U.S.C. 1692)
  • Equal Credit Opportunity Act - 12 CFR 1002 (CFPB Regulation B)
  • Fair Credit Reporting Act (CFPB Regulation V)
  • GLBA Privacy Examination Procedures (CFPB 2016)
  • Gramm-Leach-Bliley Act (CFPB Regulation P)
  • Interagency Truth in Lending Act (CFPB 2018)
  • Military Lending Act (CFPB 2016)
  • Military Lending Act - Limitations on Terms of Consumer Credit Extended to Service Members and Dependents (32 CFR 232)
  • Truth in Lending Act (TILA) - 12 CFR 1026 (CFPB Regulation Z)
  • Fair Housing Act (42 U.S.C. 45)
  • Flood Disaster Protection Act (OCC 2017)
  • CANSPAM Act Examination Procedures (FDIC 2014)
  • Electronic Signatures in Global and National Commerce (15 USC Ch. 96)
  • Homeowners Protection Act (12 U.S.C 49)
  • Homeowners Protection Act (FDIC 2015)
  • Mortgage Origination (CFPB 2015)
  • Restrictions on use of telephone equipment (47 USC 277)
  • Servicemember Civil Relief Act (50 USC Ch. 50)
  • TCPA Examination Procedures (FDIC 2016)
  • UIGEA Examination Procedures (FDIC 2010)
  • FDIC Home Mortgage Disclosure Examination Checklist (2015)

Federal Government Compliance

Regulatory content and guidance for Federal Government, including:

  • OMB A-133 Part 3.1 Uniform Guidance (June 2016)
  • OMB A-133 Part 3.2 Uniform Guidance (June 2016)
  • OMB A-133 Part 4 - Department of Agriculture (USDA) Programs
  • OMB A-133 Part 4 - Department of Education (ED) Programs
  • OMB A-133 Part 4 - Department of Health and Human Services (HHS) Programs
  • OMB A-133 Part 4 - Department of Housing and Urban Development (HUD) Programs
  • OMB A-133 Part 4 - Department of Transportation (DOT) Programs
  • OMB A-123 (Revision 2014)
  • DFAR/FAR

State and Local Government Compliance

Regulatory content and guidance for State and Local Governments, including:

  • OMB A-133 Part 3.1 Uniform Guidance (June 2016)
  • OMB A-133 Part 3.2 Uniform Guidance (June 2016)
  • OMB A-133 Part 4 - Department of Agriculture (USDA) Programs
  • OMB A-133 Part 4 - Department of Education (ED) Programs
  • OMB A-133 Part 4 - Department of Health and Human Services (HHS) Programs
  • OMB A-133 Part 4 - Department of Housing and Urban Development (HUD) Programs
  • OMB A-133 Part 4 - Department of Transportation (DOT) Programs
  • OMB A-123 (Revision 2014)

Higher Education Compliance

Regulatory content and guidance for Higher Education Institutions, including:

  • FERPA 2017

Not what you were looking for? Explore more content suites

Security & IT Compliance

  • IT Risk and Compliance
  • Data Privacy Compliance
  • ISO 2700X Toolkit

Audit & Internal Controls Management

  • Banking Audit
  • Financial Services Audit
  • Federal Government Audit

Robotics

  • Resources
  • Pre-built Data Integration Robots
  • Pre-built Analysis Robots

Rsam Integrated Content

  • Rsam Regulatory Guidance

Risk Management

  • Banking Risk Management
  • Enterprise Risk Libraries