Comment Period Participation 1 Percent Submitting More Than One Formal Comment Letter/Year
BSA/AML Focus 2 Percent Reporting BSA/AML Exam Diverted Resources During Review
Measuring Compliance Risk 3 Percent Managing Compliance Risk as Part of Operations Risk
Compliance Risk for New Products Always 2009 Always 2009 Usually & Always 2009 Occasionally & Never
Test Employees’ Compliance Knowledge 5 Percent That Test Employees After Formal Training
Staffing 6 Size of Staff Relative to 2007
Board’s Compliance Engagement 7 Percent Whose Examiners Have Encouraged More Board Involvement Board Provides Required Support 2009
Board’s Compliance Engagement 8 Percent Whose Boards Review Compliance Budget Board Provides Required Support 2009
Partners’ Regulatory Compliance 9 Percent That Track Partners’ Regulatory Compliance
Engagement in Affiliated Business 10 Percent Engaged in Affiliated Business Which Must be Disclosed Under RESPA
Compliance Duties as Part of Job 11 Percent Which Include Compliance Duties in Job Description
Ombudsman Contact 12 Percent Having Contacted Their Regulator’s Ombudsman on a Compliance Issue