1. Large Bank Compliance Huddle
October 2017

2. Reg CC
Concerns
Training

3. Recent Exams Does anyone currently have examiners on-site?
Is there still a continuing increase in request information?
What is the focus of the on-site?
Has anyone just been through an exam or recently received their ROE?
Has examiner “tone” changed from the last on-site?
Are the reports giving credit where credit is due, or if there were concerns, are the reports written in such a way that the regulators are seemingly sympathetic or more demanding?
What are some of the areas of focus?

5. Anything else on your mind?
Follow-up

6. Questions?
Thank you for your participation and input into the conversation! If you have any additional questions, contact Compliance Alliance at or