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#2252864 - 04/23/21 04:11 PM Compliance Audits
EuphegeniaDoubtfire Offline
Junior Member
Joined: Sep 2018
Posts: 44
Hi,
Potentially dumb question. What regulations are considered compliance regulations? Aren't they all? FDIC compliance exam and I was instructed to submit all compliance audits and workpapers. Not sure what all that includes but to me I would think it's all the reg audits.
HELP

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#2252865 - 04/23/21 04:19 PM Re: Compliance Audits EuphegeniaDoubtfire
Skittles Online
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Skittles
Joined: Sep 2002
Posts: 13,961
TN
Hello,

When I have received these in the past I submit the 'Lettered' regulatory audits performed (i.e. Reg B, Reg C, Reg CC, etc.). BSA is generally reviewed separately along with additional audits (Reg O comes to mind).

I hope that helps.
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#2252866 - 04/23/21 04:23 PM Re: Compliance Audits EuphegeniaDoubtfire
rlcarey Online
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rlcarey
Joined: Jul 2001
Posts: 77,292
Galveston, TX
Refer to their compliance examination procedures and the areas covered: https://www.fdic.gov/resources/supe...compliance-examination-manual/index.html

If you are unsure of something - pick up the phone and call the EIC
Last edited by rlcarey; 04/23/21 04:53 PM. Reason: Try This Link
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The opinions expressed here should not be construed to be those of my employer: PPDocs.com

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#2252867 - 04/23/21 04:27 PM Re: Compliance Audits EuphegeniaDoubtfire
EuphegeniaDoubtfire Offline
Junior Member
Joined: Sep 2018
Posts: 44
That is very helpful Skittles, thank you so much. Randy, the link you attached says page not found. Thank you both

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#2252877 - 04/23/21 05:27 PM Re: Compliance Audits EuphegeniaDoubtfire
InFairness, CRCM Offline
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InFairness, CRCM
Joined: Nov 2010
Posts: 568
USA
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#2252887 - 04/23/21 06:38 PM Re: Compliance Audits EuphegeniaDoubtfire
EuphegeniaDoubtfire Offline
Junior Member
Joined: Sep 2018
Posts: 44
Amazing, thank you

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