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"​Checklist​"​ to Use in Compliance

Is there a ​"​checklist​"​ to use in compliance that would list the things for each ​regulation​ that need to be completed each year? ​For example, annual training, reports req​uired​ board notifications, etc.

by Randy Carey:
That is a very broad list and I have never seen one.


by Richard Insley:
The regulators' various exam manuals should cover virtually everything that could be condensed into a checklist, but far more important are day-by-day regulatory risk assessments that focus your talent, energy, and resources on the most serious risks.


by Andy Zavoina:
I'll fill out the trio and say there isn't one list. Start with getting done what's called for in the examiner's workpapers, but add your own bank's needs based on risk ratings. The final list would be different for every bank, but the starter document is a review of each applicable regulation and/or exam workpapers.


by Richard Insley:
I couldn't agree more! Every day we see post after post by bankers who could find answers to their questions IF THEY SIMPLY READ THE REGULATION AND RELATED COMMENTARY.

First published on 12/12/2015

Last updated on 12/13/2015

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