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:

Regulations

Office of the Comptroller of Currency (OCC)

  • 12 CFR Ch 1 - Office of the Comptroller of Currency (OCC) (eCFR 2019)
  • OCC - Minimum Security Devices and Procedures, Reports of Suspicious Activities, and Bank Secrecy Act Compliance Program Act (12 CFR 21, eCFR 2018)
  • OCC - Community Reinvestment Act and Interstate Deposit Production Regulations (12 CFR 25, eCFR 2020)

Federal Reserve System (FRS)

  • 12 CFR Ch 2 - Federal Reserve System (FRS) (eCFR 2019)
  • FRS Reg D - Reserve Requirements of Depository Institutions (12 CFR 204, eCFR 2018)
  • FRS Reg H - Membership of State Banking Institutions in the Federal Reserve System (12 CFR 208, eCFR 2020)
  • FRS Reg O - Loans to Executive Officers, Directors, and Principal Shareholders of Member Banks Act (12 CFR 215, eCFR 2020)
  • FRS Reg Y - Bank Holding Company Act (12 CFR 225, eCFR 2018)
  • FRS Reg BB - Community Reinvestment Act (12 CFR 228, eCFR 2018)
  • FRS Reg CC - Availability of Funds and Collection of Checks (12 CFR 229, eCFR 2020)
  • FRS Reg GG - Prohibition on Funding of Unlawful Internet Gambling Act (12 CFR 233, eCFR 2018)
  • FRS Reg II - Debit Card Interchange Fees and Routing (12 CFR 235, eCFR 2020)

Federal Deposit Insurance Corporation (FDIC)

  • 12 CFR Ch 3 - Federal Deposit Insurance Corporation (FDIC) (eCFR 2020)

National Credit Union Administration (NCUA)

  • 12 CFR Ch 7 - National Credit Union Administration (NCUA) (eCFR 2019)

Consumer Financial Protection Bureau (CFPB)

  • 12 CFR Ch 10 - Consumer Financial Protection Bureau (CFPB) (as of eCFR 2019)
  • CFPB Reg B - Equal Credit Opportunity Act (ECOA) (12 CFR 1002, eCFR 2018)
  • CFPB Reg C - Home Mortgage Disclosure Act (HMDA) (12 CFR 1003, eCFR 2020)
  • CFPB Reg E - Electronic Fund Transfer Act (EFTA) (12 CFR 1005, eCFR 2020)
  • CFPB Reg F - Fair Debt Collection Practices (12 CFR 1006, eCFR 2018)
  • CFPB Reg G - Secure and Fair Enforcement of Mortgage Licensing Act: Federal Registration of Residential Mortgage Loan Originators (12 CFR 1007, eCFR 2018)
  • CFPB Reg H - Secure and Fair Enforcement of Mortgage Licensing Act: State Compliance and Bureau Registration System (12 CFR 1008, eCFR 2018)
  • CFPB Reg M - Consumer Leasing Act (12 CFR 1013, eCFR 2020)
  • CFPB Reg P - Privacy of Consumer Financial Information Act (12 CFR 1016, eCFR 2019)
  • CFPB Reg V - Fair Credit Reporting Act (FCRA) (12 CFR 1022, eCFR 2020)
  • CFPB Reg X - Real Estate Settlement Procedures Act (RESPA) (12 CFR 1024, eCFR 2020)
  • CFPB Reg Z - Truth in Lending Act (TILA) (12 CFR 1026, eCFR 2020)
  • CFPB Reg DD - Truth in Savings Act (TISA) (12 CFR 1030, eCFR 2020)

Federal Financial Institutions Examination Council (FFIEC)

  • 12 CFR Ch 11 - Federal Financial Institutions Examination Council (FFIEC) (eCFR 2019)

Financial Crimes Enforcement Network (FinCEN)

  • FINCEN - General Provisions (31 CFR 1010, eCFR 2018)
  • FINCEN - Rules for Banks (31 CFR 1020, eCFR 2018)

Other regulations

  • Bank Secrecy Act and Anti-Money Laundering (FFIEC 2014)
  • CAN-SPAM Rule (16 CFR 316, eCFR 2018)
  • Limitations on Terms of Consumer Credit Extended to Service Members and Dependents (32 CFR 232, eCFR 2018)
  • Homeowner's Protection Act (HPA) (12 U.S.C. Ch 49, 2020)
  • Electronic Signatures in Global and National Commerce (E-SIGN) (15 U.S.C. Ch 96, 2020)
  • Debt Collection Practices (15 U.S.C. 1692, 2020)
  • Fair Housing Act (FHA) (42 U.S.C. Ch 45, 2020)
  • Restrictions on use of telephone equipment (47 U.S.C. 227, 2020)
  • Servicemember Civil Relief Act (SCRA) (50 U.S.C. Ch 50, 2020)

Guidance and Procedures

  • BSA/AML Examiner Procedures (FFIEC 2014)
  • CANSPAM Act Examiner Procedures (FDIC 2014)
  • Debt Collection Examiner Procedures (CFPB 2012)
  • EFTA Examiner Procedures (CFPB 2013)
  • ECOA Examiner Checklist (FDIC 2015)
  • E-SIGN Act Examiner Procedures (FDIC 2014)
  • FDPA Examiner Procedures (CFPB 2019)
  • GLBA Examiner Checklist (FDIC 2016)
  • GLBA Privacy Examiner Procedures (CFPB 2016)
  • HMDA Examiner Checklist (FDIC 2015)
  • Homeowners Protection Examiner Procedures (FDIC 2015)
  • Interagency Fair Lending Examiner Procedures (FFIEC 2009)
  • Interagency TILA Examiner Procedures ( FFIEC 2018)
  • Interagency TISA Examiner Procedures (CFPB 2012)
  • MLA Examiner Procedures (CFPB 2016)
  • Mortgage Origination Examiner Procedures (CFPB 2015)
  • SAFE Act Examiner Procedures (CFPB 2012)
  • SCRA Examiner Procedures (FDIC 2016)
  • TCPA Examiner Procedures (FDIC 2016)
  • Trust Examination Manual (FDIC 2017)
  • UDAAP Examiner Procedures (CFPB 2012)
  • UIGEA Examiner Procedures (FDIC 2010)

* Year reflects source publication used

Financial Services Compliance

Regulatory content and guidance for Financial Services Institutions, including:

Regulations

Consumer Financial Protection Bureau (CFPB)

  • 12 CFR Ch 10 - Consumer Financial Protection Bureau (CFPB) (as of eCFR 2019)
  • CFPB Reg B - Equal Credit Opportunity Act (ECOA) (12 CFR 1002, eCFR 2018)
  • CFPB Reg C - Home Mortgage Disclosure Act (HMDA) (12 CFR 1003, eCFR 2020)
  • CFPB Reg E - Electronic Fund Transfer Act (EFTA) (12 CFR 1005, eCFR 2020)
  • CFPB Reg F - Fair Debt Collection Practices (12 CFR 1006, eCFR 2018)
  • CFPB Reg G - Secure and Fair Enforcement of Mortgage Licensing Act: Federal Registration of Residential Mortgage Loan Originators (12 CFR 1007, eCFR 2018)
  • CFPB Reg H - Secure and Fair Enforcement of Mortgage Licensing Act: State Compliance and Bureau Registration System (12 CFR 1008, eCFR 2018)
  • CFPB Reg M - Consumer Leasing Act (12 CFR 1013, eCFR 2020)
  • CFPB Reg P - Privacy of Consumer Financial Information Act (12 CFR 1016, eCFR 2019)
  • CFPB Reg V - Fair Credit Reporting Act (FCRA) (12 CFR 1022, eCFR 2020)
  • CFPB Reg X - Real Estate Settlement Procedures Act (RESPA) (12 CFR 1024, eCFR 2020)
  • CFPB Reg Z - Truth in Lending Act (TILA) (12 CFR 1026, eCFR 2020)
  • CFPB Reg DD - Truth in Savings Act (TISA) (12 CFR 1030, eCFR 2020)

Financial Crimes Enforcement Network (FinCEN)

  • FINCEN - General Provisions (31 CFR 1010, eCFR 2018)
  • FINCEN - Rules For Casinos and Card Clubs (31 CFR 1021, eCFR 2018)
  • FINCEN - Rules For Money Services Businesses (31 CFR 1022, eCFR 2018)
  • FINCEN - Rules For Brokers or Dealers in Securities (31 CFR 1023, eCFR 2018)
  • FINCEN - Rules For Mutual Funds (31 CFR 1024, eCFR 2018)
  • FINCEN - Rules For Insurance Companies (31 CFR 1025, eCFR 2018)
  • FINCEN - Rules For Futures Commission Merchants and Introducing Brokers in Commodities (31 CFR 1026, eCFR 2018)
  • FINCEN - Rules For Dealers in Precious Metals, Precious Stones, or Jewels (31 CFR 1027, eCFR 2018)
  • FINCEN - Rules For Operators of Credit Card Systems (31 CFR 1028, eCFR 2018)
  • FINCEN - Rules For Loans or Finance Companies (31 CFR 1029, eCFR2018)
  • FINCEN - Rules For Housing Government Sponsored Enterprises (31 CFR 1030, eCFR 2018)
  • FINCEN - Provisions Relating To The Comprehensive Iran Sanctions, Accountability, And Divestment Act of 2010 (31 CFR 1060, eCFR 2018)

Other regulations:

  • Bank Secrecy Act and Anti-Money Laundering (FFIEC 2014)
  • CAN-SPAM Rule (16 CFR 316, eCFR 2018)
  • Limitations on Terms of Consumer Credit Extended to Service Members and Dependents (32 CFR 232, eCFR 2018)
  • Homeowner's Protection Act (HPA) (12 U.S.C. Ch 49, 2020)
  • Electronic Signatures in Global and National Commerce (E-SIGN) (15 U.S.C. Ch 96, 2020)
  • Debt Collection Practices (15 U.S.C. 1692, 2020)
  • Fair Housing Act (FHA) (42 U.S.C. Ch 45, 2020)
  • Restrictions on use of telephone equipment (47 U.S.C. 227, 2020)
  • Servicemember Civil Relief Act (SCRA) (50 U.S.C. Ch 50, 2020)
  • Unfair, Deceptive, or Abusive Acts or Practices (CFPB 2012)

Guidance and Procedures:

  • BSA/AML Examiner Procedures (FFIEC 2014)
  • CANSPAM Act Examiner Procedures (FDIC 2014)
  • Debt Collection Examiner Procedures (CFPB 2012)
  • EFTA Examiner Procedures (CFPB 2013)
  • ECOA Examiner Checklist (FDIC 2015)
  • E-SIGN Act Examiner Procedures (FDIC 2014)
  • GLBA Examiner Checklist (FDIC 2016)
  • GLBA Privacy Examiner Procedures (CFPB 2016)
  • HMDA Examiner Checklist (FDIC 2015)
  • Homeowners Protection Examiner Procedures (FDIC 2015)
  • Interagency Fair Lending Examiner Procedures (FFIEC 2009)
  • Interagency TILA Examiner Procedures (FFIEC 2018)
  • Interagency TISA Examiner Procedures (CFPB 2012)
  • MLA Examiner Procedures (CFPB 2016)
  • Mortgage Origination Examiner Procedures (CFPB 2015)
  • SAFE Act Examiner Procedures (CFPB 2012)
  • SCRA Examiner Procedures (FDIC 2016)
  • TCPA Examiner Procedures (FDIC 2016)
  • Trust Examination Manual (FDIC 2017)
  • UDAAP Examiner Procedures (CFPB 2012)
  • UIGEA Examiner Procedures (FDIC 2010)

* Year reflects source publication used

Federal Government Compliance

Regulatory content and guidance for Federal Government, including:

Standards

  • OMB A-123 (Green Book) 2014 Revision (GAO-14-704G, 2014)
  • OMB A-133 Uniform Guidance (2 CFR 200 Appendix XI Part 3.1, June 2016)
  • OMB A-133 Uniform Guidance (2 CFR 200 Appendix XI Part 3.2, June 2016)

* Year reflects source publication used

State and Local Government Compliance

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

Standards

  • OMB A-123 (Green Book) 2014 Revision (GAO-14-704G, 2014)
  • OMB A-133 Uniform Guidance (2 CFR 200 Appendix XI Part 3.1, June 2016)
  • OMB A-133 Uniform Guidance (2 CFR 200 Appendix XI Part 3.2, June 2016)

* Year reflects source publication used

Higher Education Compliance

Regulatory content and guidance for Higher Education Institutions, including:

Regulations

  • Family Educational Rights and Privacy Act (FERPA) (34 CFR 99, ED 2017)

* Year reflects source publication used

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Security & IT Compliance

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Audit & Internal Controls Management

  • Banking Audit
  • Financial Services Audit
  • Federal Government Audit

Robotics

  • Resources
  • Data Integration Robot Toolkits
  • Analysis Robot Toolkits

Rsam Integrated Content

  • Rsam Regulatory Guidance

Risk Management

  • Banking Risk Management
  • Enterprise Risk Libraries