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Board Oversight: Post Compliance Exam Activities

Explores a bank board's key responsibility for reviewing the findings from a compliance examination, as delivered in the Report of Examination. This includes ensuring that a bank examines, summarizes, and explains report findings to the board in a timely manner.

Duration: Approximately 5 minutes
Created: September 2018

What You'll Learn

After successfully completing the course, you will be able to:

  • Describe the categories of compliance exam issues that are used to address exam findings
  • Explain how the action plan is used to list exam deficiencies and how they will be fixed
  • Explain the process of having a compliance exam debrief and discussion on regulator expectations

Audience

For members of a bank's board of directors.


​Questions? Please contact training@aba.com for more information.

 

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Note to Members: If you need to record your training for compliance purposes, sign in to ABA's LMS and access this training through your Frontline Compliance Training license agreement.

 

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