Fdic compliance exam manual

Independent testing should be conducted by the internal audit department, outside auditors, consultants, or other qualified independent parties. Banks that do not employ outside auditors or consultants or do not have internal audit departments may comply with this requirement by using qualified bank staff who are not involved in the function being tested.

Consideration should also be given to the expansion into new product lines, services, customer types, and geographic locations through organic growth or merger activity. This evaluation helps inform the board of directors and senior management of weakness, or areas in need of enhancements or stronger controls. At a minimum, the independent testing should contain sufficient information for the reviewer e.

Auditors should document the independent testing scope, procedures performed, transaction testing completed, and any findings. All independent testing documentation and supporting workpapers should be available for examiner review. Violations; exceptions to bank policies, procedures, or processes; or other deficiencies noted during the independent testing should be documented and reported to the board of directors or a designated board committee in a timely manner.

The board of directors, or a designated board committee, and appropriate staff should track deficiencies and document progress implementing corrective actions. Examiners should determine whether the testing was conducted in an independent manner. Examiners may also evaluate, as applicable, [16] For more information, see e.

Part 30 App. D, II. Examiners should also review whether violations; exceptions to policies, procedures, or processes; or other deficiencies are reported to the board of directors or a designated board committee in a timely manner, whether they are tracked, and whether corrective actions are documented.

The bank adheres to its policies, procedures, and processes for BSA compliance. The bank complies with BSA recordkeeping and reporting requirements e. These may include reports or automated programs used to: identify large currency transactions, aggregate daily currency transactions, record monetary instrument sales and funds transfer transactions, and provide analytical and trend reports.

Training is provided for appropriate personnel, tailored to specific functions and positions, and includes supporting documentation. Management took appropriate and timely action to address any violations and other deficiencies noted in previous independent testing and regulatory examinations, including progress in addressing outstanding supervisory enforcement actions, if applicable.

 
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Fdic compliance exam manual

 
Equal Credit Opportunity Act. Office of Foreign Assets Control Not Applicable.
 
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Fdic compliance exam manual

 
Regulation implements the Expedited Funds Availability Act; provides consumer protections concerning how long banks can place holds on checks deposited in consumer checking accounts. Reports of Foreign Financial Accounts Appendix G — Structuring CFPB Newsroom. Parallel Banking UDAP examination procedures.

 
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FFIEC BSA/AML Examination Manual

 
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Servicemembers Civil Relief Act. Correspondent Accounts Domestic Prepaid Access BSA Compliance Officer Regulation B.