Compliance

AFSA actively engages in the federal regulatory process and stays on top of federal regulatory compliance requirements and the evolving regulatory environment to help our members meet their compliance goals, including:

  • Providing regular alerts and updates on important regulatory compliance issues affecting the industry.
  • Facilitating sharing of information between members, via the Operations and Regulatory Compliance Committee, to learn about how member companies are keeping current with compliance requirements.
  • Providing resources, including compliance training (i.e. AFSA University), and templates and sample documents on the components of a robust compliance management system.
  • Organizing educational events including webinars and seminars. 

For more information, contact Philip Bohi, Vice President, Compliance Education.

Federal Regulatory Agency Guidance & Documents

Consumer Financial Protection Bureau (CFPB)

The Federal Reserve

Federal Deposit Insurance Corporation (FDIC) and Office of the Comptroller of the Currency (OCC)

Compliance Management Resources

AFSA member companies face complex compliance issues that can be ever-changing. We assist our members with their compliance programs by developing industry resources and educational materials.

ASFA members: login to access AFSA compliance resources.

Vendor Management Resources

Federal regulators are increasingly looking to the relationship that exists between member companies and third-party vendors to ensure compliance with applicable laws. AFSA helps educate the industry in this important area by producing resources and white papers.

AFSA members: login to access AFSA Vendor Management Resources.

Business Partner Perspectives - Compliance

The resources below are provided by AFSA Business Partners. They are intended to be educative in nature.