BAI Documents & Resources

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What’s New, What’s Coming?

Documents FAQ

Future Document Development Plans:

  • Basic Compliance Requirements [Policy]
  • Banks Have Many Questions About ESG [Article]
  • Great Customer Service: What Consumers Prioritized the Most [Article] PS
  • Staying One Step Ahead of Fraud [Article]
  • Reg D [Overview]
  • Reg DD [Overview]
  • Safe Deposit Boxes [Overview]
  • Active Shooter [Overview]
  • Bank Security [Overview]
  • Email Security [Overview]
  • Flood Disaster Protection Act [Overview]
  • MRBs [Overview]
  • + More!

Note: This list is tentative and subject to change. Last updated 06.30.22

Release Notes – Content Development – 06.28.22

  • 1832 – How to Help Americans Become Smarter About Money [Article]
  • 1835 – Will Neobanks Take Over Small-Business Banking? [Article] LIL

Release Notes – Content Development – 06.24.22

  • 1140 – What’s New in Cybersecurity and Cybercrime [Overview]
  • 1142 – What Financial Institutions Can Do To Enhance Cybersecurity [Overview]

Release Notes – Content Development – 06.22.22

  • 1620 – Protecting Employees from Workplace Discrimination and Harassment — New York State and New York City Requirements [Overview] PS

Release Notes – Content Development – 06/17/22

  • 1625 – Protecting Employees from Workplace Discrimination and Harassment — California Requirements [Overview] PS
Release Notes – Content Development – 05.25.22

  • 1830 – BAI Banking Outlook: Protecting Against Fraud [Infographic]

Release Notes – Content Development – 05.20.22

  • 1831 – Buy Now, Pay Later Is Here To Stay [Article] LIL
  • 1848 – Driving Loyalty with a Robust Mobile Banking App [Article] LIL
  • 1850 – Personalized, Mobile-First Banking at Scale [Article] LIL

Release Notes – Content Development – 05.19.22

  • 1826 – Why Banks Should Provide Payment Services to SMBs [Article] LIL
  • 1827 – 4 Questions To Ask For Bank-Fintech Partnership Success [Article] LIL
  • 1829 – Creating a Digital Path to a Compelling CX [Article] LIL

Release Notes – Content Development – 05.17.22

  • 1752 – The Main Street Lending Program for Small Business Lending [Overview]
  • 1137 – Cybersecurity: Securing Mobile Devices [Video]

Release Notes – Content Development – 05.16.22

  • 1135 – Cybersecurity: Phishing and Social Engineering [Video]
  • 1136 – Cybersecurity: Social Media Security [Video]

Release Notes – Content Development – 05.13.22

  • 1134 – Defense Against Social Engineering: Pretexting [Video]

Release Notes – Content Development – 05.11.22

  • 1741 – Small Businesses Want and Need More Digital Solutions [Article] LIL
  • 1751 – Loan Origination for Small Business Lending [Overview]
  • 1132 – Defense Against Social Engineering: Phishing [Video]
  • 1133 – Defense Against Social Engineering: Impersonation [Video]
  • 1834 – Changing the Thinking on Compliance Training [Article]
  • 1828 – It’s Not Too Late for Community Banks to Digitally Transform [Podcast] LIL

Release Notes – Content Development – 05.06.22

  • 1822 – Key Banking Issues and Trends for 2022 [Podcast] LIL
  • 1824 – The Pandemic May Ease Off but not Banking Innovation [Podcast] LIL

Release Notes – Content Development – 04.29.22

  • 1740 – Introduction to Small Business Lending [Overview]
  • 1750 – Assessing and Minimizing Risk for Small Business Lending [Overview]

Release Notes – Content Development – 04.27.22

  • 1746 – SBA Loans for Small Business Lending [Overview] 
  • 1747 – Introduction to Bankruptcy for Small Business Lending [Overview] 
  • 1748 – The Paycheck Protection Program for Small Business Lending [Overview] 
  • 1749 – Building Relationships for Small Business Lending [Overview] 

Release Notes – Content Development – 04.26.22

  • 1742 – Loan Servicing for Small Business Lending [Overview]
  • 1743 – Comparing Types of Bankruptcy [Overview]
  • 1744 – Comparing SBA Loan Programs [Overview]
  • 1745 – Small Business Loan Application [Checklist]

Release Notes – Content Development – 04.14.22

  • 1814 – The Future of KYC and CIP: What Banks Need to Know [Article]
  • 1817 – What U.S. banks Can Learn as Europe Embraces Open Banking [Article] LIL
  • 1818 – Shifting Bad Press Into AML Compliance [Article]
  • 1819 – The Benefits of Adding ESG to Your Banking Strategy [Article]
  • 1820BC – Small Businesses Need Help From Banks and Credit Unions [Article]
  • 1821 – Anti-Money Laundering Scrutiny is Growing in the Payments Space [Article] LIL

Release Notes – Content Development – 04.07.22

  • 1131 – Defense Against Social Engineering: Phishing [Overview]

Release Notes – Content Development – 03.25.22

  • 1107 – Cybersecurity: Phishing and Social Engineering [Overview] | Minor Update

Release Notes – Content Development – 03.21.22

  • 1815 – How Financial Services Organizations Can Overcome Compliance Fatigue [Article]
  • 1816 – How Banks Can Measure Hidden ESG Risks [Article] LIL

Release Notes – Content Development – 03.15.22

  • 1026 – CIP Procedures and Protections Checklist [Process]
  • 1025 – OFAC Risk Assessment [Red Flags]

Release Notes – Content Development – 03.08.22

  • 1812 – The Top Banking Trends and Challenges for 2022 [Article] LIL
  • 1813 – How U.S. Banks Can Stay Compliant with Sanctions Against Russia [Article]
Release Notes – Content Development – 02.28.22

  • 1800 – Taking millennials seriously is key to your SMB strategy [Article] LIL
  • 1801 – Why do talented women and minorities leave financial services? [Article] LIL
  • 1802 – U.S. banks are embracing blockchain payments – here’s why [Article] LIL
  • 1804 – Four financial crime predictions for 2022 [Article] LIL
  • 1805 – Reimagining credit risk in the context of climate risk [Article] LIL
  • 1806 – Start your transformation with a security mindset [Article] LIL
  • 1807 – For banks, the future of ESG is now [Article]
  • 1808 – How crisis-proof is your financial organization? [Article]
  • 1809 – Winning the war for talent [Article] PS
  • 1810 – The new Reg F: Updates to The Fair Debt Collection Practices Act [Article]
  • 1811 – Cryptocurrency regulations and banking in 2022 [Article] LIL

There were no new documents or resources added this month. 

There were no new documents or resources added this month. 

There were no new documents or resources added this month. 

Release Notes – Content Development – 10.04.21

  • 1000 – Bank Secrecy Act (BSA) [Overview]
  • 1001 – BSA and AML Compliance for Nonbanks [Overview]
  • 1002 – Completing a Currency Transaction Report (CTR) [Process]
  • 1003 – Completing a Suspicious Activity Report (SAR) [Process]
  • 1004 – Currency Transaction Reports (CTRs) for Management [Overview]
  • 1005 – Customer Identification Program (CIP) [Checklist]
  • 1006 – The $3,000 Rule for Negotiable Instruments [Overview]
  • 1007 – The $3,000 Rule for Wire Transfers [Overview]
  • 1008 – BSA and AML Requirements for Money Services Businesses [Overview]
  • 1009 – Bank Secrecy Act (BSA) Considerations for Banking Marijuana-Related Businesses [Overview]
  • 1010 – An Introduction to Office of Foreign Assets Control (OFAC) [Video]
  • 1011 – Banking Marijuana-Related Businesses [Red Flags]
  • 1012 – Customer Identification Program (CIP) [Overview]
  • 1013 – Customer Identification Program (CIP) [Scenarios]
  • 1014 – Money Laundering [Red Flags]
  • 1015 – Mortgage Fraud [Red Flags]
  • 1016 – Office of Foreign Assets Control (OFAC) [Infographic]
  • 1017 – Office of Foreign Assets Control (OFAC) Data Delivery Standards [Process]
  • 1018 – Terrorist Financing [Red Flags]
  • 1019 – Member Identification Program (MIP) Requirements [Video]
  • 1020 – Trade-Based Money Laundering [Red Flags]
  • 1021 – Customer Identification Program (CIP) Requirements [Video]
  • 1022 – Office of Foreign Assets Control (OFAC): Addressing Risks and Red Flags [Overview]
  • 1023 – Office of Foreign Assets Control (OFAC) Report of Rejected Transactions [Government Form]
  • 1024 – Office of Foreign Assets Control (OFAC) Report of Blocked Transactions [Government Form]
  • 1050 – Complying with Regulation U [Overview]
  • 1051 – Federal Record Retention Requirements [Overview]
  • 1052 – Pandemic Planning [Checklist]
  • 1053 – Robbery Prevention and Response [Overview] 1060 Building a Compliance Management System [Checklist]
  • 1061 – Fair Lending Considerations: Avoiding Discrimination [Overview]
  • 1062 – Identity Theft and Elder Abuse [Overview]
  • 1063 – IT Professional: Getting Ready to Partner for Fintech Success [Overview]
  • 1064 – IT Professional: Managing UDAAP and Fair Lending Risks in Big Data [Overview]
  • 1065 – IT Professional: Meeting Anti Money Laundering (AML) Requirements through Data Analysis [Overview]
  • 1066 – Robber Description Form [Worksheet]
  • 1067 – Robbery and Security [Overview]
  • 1100 – 10 Key Tips to Build a Cybersecurity Culture [Overview]
  • 1101 – An Introduction to Elder Financial Abuse [Video]
  • 1102 – An Introduction to Identity Theft [Video]
  • 1103 – An Introduction to the Gramm-Leach-Bliley Act (GLBA) [Video]
  • 1104 – Anti-Fraud Best Practices for Nonbanks [Overview]
  • 1105 – Cybersecurity Risk Management [Overview]
  • 1106 – Cybersecurity: Computer Security Basics [Overview]
  • 1107 – Cybersecurity: Phishing and Social Engineering [Overview]
  • 1108 – Cybersecurity: Securing Mobile Devices [Overview]
  • 1109 – Differences Among Types of Deposit Accounts [Overview]
  • 1110 – Elder Abuse Reporting in California [Overview]
  • 1111 – Elder Abuse Reporting in Illinois [Overview]
  • 1112 – Elder Abuse Signs and Questions [Checklist]
  • 1113 – Elder Financial Abuse [Overview]
  • 1114 – Federally Insured Accounts [Overview]
  • 1115 – Identity Theft Prevention: Safeguarding Information [Overview]
  • 1116 – Protecting Minors Credit [Overview]
  • 1117 – Regulation CC: Essentials [Overview]
  • 1118 – Regulation E: Handling Errors and Complaints [Overview]
  • 1119 – Right to Financial Privacy Act [Overview]
  • 1120 – Understanding Privacy: The Gramm-Leach-Bliley Act (GLBA) [Overview]
  • 1121 – Understanding Social Media Risks [Video]
  • 1122 – An Introduction to Unfair, Deceptive, and Abusive Acts or Practices (UDAAPs) [Video]
  • 1123 – Detecting Unfair, Deceptive, or Abusive Acts or Practices (UDAAPs) in Consumer Complaints [Video]
  • 1124 – How Social Engineering Scams Work [Video]
  • 1125 – Opt-Out Requirements Under the Gramm-Leach-Bliley Act (GLBA) [Video]
  • 1126 – Reg E and E-SIGN for Money Services Businesses (MSBs) [Overview]
  • 1127 – Types of Malware [Video]
  • 1128 – Fair Treatment Considerations for Money Services Businesses [Overview]
  • 1129 – Social Media Security [Overview]
  • 1200 – Big Data Risk Assessment [Worksheet]
  • 1201 – Large Data Sets [Red Flags]
  • 1203 – Elder Financial Abuse [Red Flags]
  • 1204 – E-SIGN Act: Benefits and Risks [Overview]
  • 1205 – Federal Deposit Insurance Corporation (FDIC) Insurance Sign [Policy]
  • 1206 – Know your Rights when a Debt Collector calls
  • 1207 – Managing Cash Flow and Bill Payments
  • 1208 – National Credit Union Administration (NCUA) Insurance Sign [Policy]
  • 1209 – Occupational Safety and Health Act (OSHA) Guidance on Preparing Workplaces for COVID-19
  • 1210 – Preventing Identity Theft for Money Services Businesses (MSBs) [Overview]
  • 1211 – Regulation Reference Sheet [Overview]
  • 1212 – Saving for Financial Shocks and Emergencies
  • 1216 – Unfair, Deceptive, or Abusive Acts or Practices (UDAAP): Mitigating Risk [Overview]
  • 1217 – Unfair, Deceptive, or Abusive Acts or Practices (UDAAP): Mitigating Risk for Money Services Businesses [Overview]
  • 1218 – 9 Prohibited Discrimination Factors [Overview]
  • 1300 – Determining Your Readiness for a Fintech Partner [Overview]
  • 1301 – Fintech Partnerships: Managing Compliance and Risk [Overview]
  • 1302 – Guiding Principles for Fintech Initiatives [Worksheet]
  • 1303 – How to Select the Right Fintech Partner [Overview]
  • 1304 – What is Fintech? [Overview]
  • 1350 – Assessing Your Institution’s Readiness to Pursue a New Technology Solution [Overview]
  • 1351 – Critical Capabilities for Successful AI Adoption [Infographic]
  • 1352 – Digital Adoption Strategy [Checklist]
  • 1353 – Key Questions for Evaluating Vendors [Checklist]
  • 1354 – New Technology Readiness [Scenario]
  • 1355 – Return on investment (ROI) of Artificial intelligence (AI) in Banking [Overview]
  • 1400 – Americans with Disabilities Act (ADA) [Overview]
  • 1401 – COVID-19 – Maintaining a Safe Work Environment [Overview]
  • 1402 – Equal Employment Opportunity Act [Summary]
  • 1403 – Equal Employment Opportunity Interviewers Guide [Process]
  • 1404 – Understanding Stereotypes [Worksheet]
  • 1405 – Considering and Pursuing a Fintech Partnership [Overview]
  • 1406 – Diversity and Innovation [Overview]
  • 1407 – Managing in Times of Extreme Change [Overview]
  • 1408 – Managing in Times of Extreme Change First Steps [Worksheet]
  • 1409 – Diversity and Inclusion [Overview]
  • 1410 – Examples of Workplace Harassment [Scenario]
  • 1411 – Sexual Harassment: Prevention and Response [Overview]
  • 1412 – The Importance of Diversity and Inclusion in the Workplace [Video]
  • 1413 – Workplace Diversity and Inclusion [Checklist]
  • 1414 – Recognizing Sexual Harassment in the Workplace [Video]
  • 1415 – Managing in Times of Extreme Change Next Steps [Worksheet]
  • 1500 – A Borrowers Rights with Debt Collection Calls [Overview]
  • 1501 – Adverse Action [Sample Notice]
  • 1502 – Categories of Discrimination [Process]
  • 1503 – Chapters 7 and 13 Consumer Bankruptcy [Overview]
  • 1505 – Community Reinvestment Act (CRA) [Sample Notice]
  • 1506 – Community Reinvestment Act (CRA): The Basics [Overview]
  • 1507 – Community Reinvestment Act Examination [Checklist]
  • 1508 – Fair Credit Reporting Act (FCRA): Essentials [Overview]
  • 1509 – Fair Lending [Overview]
  • 1511 – Fair Lending Laws and Regulations at a Glance [Overview]
  • 1512 – Helping Borrowers Avoid Foreclosure [Overview]
  • 1513 – Home Mortgage Disclosure Act (HMDA) [Overview]
  • 1514 – Home Mortgage Disclosure Act (HMDA) Lobby Posting [Sample Notice]
  • 1515 – How to Rebuild Credit
  • 1516 – Military Lending Act (MLA) [Overview]
  • 1517 – Mortgage Basics: Laws and Regulations [Overview]
  • 1518 – Mortgage Origination [Checklist]
  • 1519 – Overshadowing and the Validation Notice in Debt Collection [Overview]
  • 1520 – Real Estate Settlement Procedures Act (RESPA) [Overview]
  • 1521 – Reg Z: Fundamentals for Real Estate Loans [Overview]
  • 1522 – Reg Z: Higher-Priced Mortgage Loans (HPML) and The Escrow Rule [Overview]
  • 1523 – Reg Z: Right of Rescission [Overview]
  • 1524 – Regulation B [Overview]
  • 1525 – Regulation Z [Overview]
  • 1526 – Right of Rescission: Rescission Model Form [Sample Notice]
  • 1527 – Servicemembers Civil Relief Act (SCRA) [Overview]
  • 1528 – Understanding Credit Scores [Overview]
  • 1529 – An Introduction to Fair Lending Laws [Video]
  • 1530 – Closing Disclosure [Process]
  • 1531 – Loan Estimate [Overview]
  • 1532 – UDAAP: Mitigating Risk for Collections [Overview]
  • 1533 – UDAAP: Special Considerations for Servicing and Collections [Checklist]
  • 1534 – FDCPA Essentials for Collections [Overview]
  • 1535 – Fair Lending Considerations for Collections [Overview]
  • 1570 – Assessing Universal Banker Skills [Checklist]
  • 1571 – Collections Warning Signs and Solutions [Red Flags]
  • 1572 – Diversity, Inclusion, and Overcoming Language Barriers [Overview]
  • 1573 – Financial Institution Discussion [Worksheet]
  • 1574 – Portfolio Management [Overview]
  • 1600 – Best Practices for Sending Emails [Overview]
  • 1601 – Calming Angry Customers [Video]
  • 1602 – Dealing with Angry Customers [Overview]
  • 1603 – Email Etiquette [Video]
  • 1604 – Handling Complaints [Overview]
  • 1605 – Overcoming Communication Barriers [Overview]
  • 1606 – Selecting the Right Communication Method [Overview]
  • 1607 – Time Management Self-Assessment [Worksheet]
  • 1608 – Time Management Urgent Important Matrix [Overview]
  • 1609 – Time Management: Best Practices and Tools [Overview]
  • 1610 – Time Management: Delegating Effectively [Video]
  • 1611 – Time Management: Getting Organized [Video]
  • 1612 – Time Management: Optimizing Meetings [Video]
  • 1613 – Time Management: Overcoming Obstacles [Overview]
  • 1670 – Cash Daily Balancing [Checklist]
  • 1671 – Currency Fraud [Red Flags]
  • 1672 – New Account Fraud [Overview]
  • 1673 – Managing Customer Complaints [Checklist]
  • 1674 – Determining Your Robbery Risk [Process]
  • 1700 – Annual Report of Blocked Property [Government Form]
  • 1701 – Bank Secrecy Act (BSA) Exam Preparation [Checklist]
  • 1702 – Check your credit report at least once a year [URL]
  • 1703 – Checklist for Opening a Bank or Credit Union Account [URL]
  • 1704 – Considering a Reverse Mortgage? [URL]
  • 1705 – Consumer Tips for Managing Spending
  • 1706 – Deposit Insurance at a Glance (Spanish Version) [URL]
  • 1707 – Deposit Insurance at a Glance [URL]
  • 1708 – Fair Lending Exam Preparation [Checklist]
  • 1709 – General Exam Preparation [Checklist]
  • 1710 – Helping Youth Start and Maintain Good Credit [URL]
  • 1711 – Home Mortgage Disclosure Act (HMDA) LAR Formatting Tool [URL]
  • 1712 – Home Mortgage Disclosure Act (HMDA) Reporting Getting It Right Guide
  • 1713 – Home Mortgage Disclosure Act (HMDA) Reporting Rate Spread Calculator
  • 1714 – How to avoid foreclosure [URL]
  • 1715 – How to Find the Best Credit Card for You [URL]
  • 1716 – How to Fix Mistakes in Your Credit Card Bill [URL]
  • 1718 – How to Rebuild Your Credit [URL]
  • 1719 – Interagency Allowance for Loan and Lease Losses (ALLL) Guidelines [Government Form]
  • 1720 – Know Your Overdraft Options [URL]
  • 1722 – Managing Family Lending and Borrowing
  • 1724 – Privacy Model Form [Government Form]
  • 1725 – Ready to Buy a Home? [URL]
  • 1726 – Selecting Financial Products and Services [URL]
  • 1727 – Share Insurance Coverage Overview (Spanish Version)
  • 1728 – Share Insurance Coverage Overview
  • 1729 – Should I refinance? [URL]
  • 1730 – Understanding Your Credit Score [URL]
  • 1731 – Watch Accounts Closely When Credit Data is Hacked
  • 1732 – Your Disaster Checklist [URL]
  • 1733 – Questions and Answers on Accounting for Loan and Lease Losses (ALLL) [Government Form]

BAI Documents & Resources were first released on October 4th, 2021. For more information about what topics were released, skip to October 2021. 

BAI Documents & Resources were first released on October 4th, 2021. For more information about what topics were released, skip to October 2021. 

BAI Documents & Resources were first released on October 4th, 2021. For more information about what topics were released, skip to October 2021. 

At BAI, we continually adding new documents and resources to compliment our courseware. View the full list of additions made to our documents library in 2022, or years prior.

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View All Documents Released in 2021

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21 checklists, 13 brochures, 11 red flags, 10 worksheets, 7 processes, 6 government forms, 4 sample notices, 3 infographics, 3 podcasts, 3 scenarios,  2 policies, 2 tools, and 1 summary

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Centralized Policy Repository

BAI Policy Repository Overview

“The board of directors with management should ensure that all significant activities are covered by clearly communicated written policies that can be readily understood by all employees. All policies should be regularly monitored and updated to ensure that they conform with changes in laws and regulations, economic conditions, and the institution’s circumstances.”  –  The FDIC

Now Available!

 
BAI’s new Custom Documents functionality gives you the ability to integrate your custom policies into our catalog, creating a centralized policy repository for your learners and allowing them to quickly reference and save your organizational content important to their role.

Below are just a few key benefits that an effective policy repository will bring to your institution’s policy and procedure communications.

  • Clear and consistent communication
  • Integrated with other content
  • Single-Source-of-Truth
  • Easy Sharing
  • Flexible version control

Is your organization doing enough to communicate and share policies and procedures?

Document Recommendations

To help you get started, we’ve provided a few document recommendations by role.

Tellers

Compliance Officers

Mortgage Lending

Branch Managers

Mortgage Loan Servicing

Wealth Management

Loan Officer – Real Estate

Loan Officer – Consumer

Document Administration & Resources

BAI Documents & Resources Overview

Centralized Policy Repository Overview

BAI Documents & Resources Sample Student Letter