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ABA Compliance Library: Policies, Forms and Checklists

The ABA sponsors the Compliance Library as a member benefit enabling banks on a voluntary basis to obtain examples of bank compliance policies to use as a tool in developing or modifying their own.

The core of the Library is the compilation of actual institution compliance policies along with the associated submission forms that enable members to make a selection of the particular policy, form or checklist exemplars to compare with their own operational circumstances.  The Library encourages banks that draw from the compilation to contribute their own adaptations to the Library; thereby expanding the available policies and keeping them up-to-date.

The library is web-based and accessible through a Members-Only link, reached by accepting the participation guidelines below.

Users of the Library will follow fundamental participation guidelines.

Use of the Library
 
ABA members providing a policy, form and checklist to the Library's collection do so in accordance with the following participation guidelines:

  1. Participants represent that the compliance policies, forms and checklists are submitted and accessed for lawful purposes and are not in violation of antitrust laws.
  2. A participant submitting a document represents that other participants may lawfully use the submission in developing or modifying their own without violating copyright law.  Participant agrees to grant ABA and its membership the right to use, access, and adapt any content submitted to the Library.      
  3. The Library encourages those who draw from it to contribute their adapted content back to the Library (with accompanying current submission form data.).
  4. The Library is available to ABA members only, and participants will respect that exclusivity.
  5. ABA reserves the right not to post submissions on the Library, and submissions included will be in redacted form.
  6. Participants in the Library do so to promote learning and recognize that it is not a purveyor of templates to cut-and-paste, but instead affords examples of applications that demonstrate alternatives from which banks can tailor their own or conduct comparative due diligence, suitable to their particular operational circumstances.
  7. The posting on the Library does not constitute legal advice or an endorsement by the ABA or its staff.  Users assume the responsibility for determining the legal or operational sufficiency for their institutions of policies, forms and checklists adapted from Library exemplars. From time-to-time, ABA staff may select particular examples to annotate to further aid users in adapting their own; however, such annotations are intended to assist compliance professionals in the exercise of their own analysis and judgment—not to substitute for such analysis or judgment. The absence of annotations is not intended to convey any ABA evaluation of, or conclusion with respect to, the utility of an exemplar.