Comment Period Participation 1 Percent Submitting More Than One Formal Comment Letter/Year.

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Presentation transcript:

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