FDIC Compliance Examination Procedures*

TABLE OF CONTENTS
 

1. Overview of the Compliance Examination
    
2. Compliance Management System
    
3. Compliance Examination Process
    
1. Pre-Examination Planning Procedures
• Information Gathering
• Compliance Request Letter
2. Examination Procedures
• Applicability and Adaptability to Large and Small Institutions
• Review and Analysis of Pre-Examination Planning Data
• Risk Profile and Scope Memorandum
• Entrance Meeting with Senior Management
• Analysis of the Compliance Management System
• Evaluating Management Oversight
• Evaluating the Compliance Program
• Evaluating the Audit Function
• Rating System
• Completing the Examination
3. Documenting Examination Findings
• General Procedures
• Use of Examiner Checklists
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• Documenting Significant Findings
• Filing Workpapers
• Retention
   
4. Report of Examination
    
5. Appendices
    
1. Entry Letters and Compliance Information and Document Request Templates; Sample Entry Letters
2. Risk Profile and Scope Memorandum Template; Sample Risk Profile and Scope Memorandum
3. Report of Examination Template Sample Report of Examination (“Bank of Anytown”)

* These documents supersede the following sections of the Compliance Examination Manual:  Part I, Part II, Part III:A, Part V:B, Part VII: B through E, Appendix A pages A-1 through A-9, and Appendix B.