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Today is: October 18, 2018  

Compliance Companion®
Standard Procedures Manuals (SPM)

Compliance Management June 2017

Regulatory agencies have increasing expectations regarding financial institutions' compliance management programs. This Manual addresses the importance and structure of a financial institution's compliance management program and the role the program plays in controlling and mitigating an institution's compliance, transaction and reputation risks. The Manual also discusses a methodology for conducting compliance risk assessments, which regulators are routinely demanding of the institutions they supervise. Additionally SPM #10 includes a discussion of the elements of an effective compliance program, such as:

  • Compliance policies and procedures
  • Compliance audits
  • Compliance training
  • Establishing a consumer complaint program
  • Managing compliance examinations

The Manual also provides a summary of recent regulatory developments in several areas, including consumer and commercial lending, deposits and operations, and corporate governance. The text of this Manual is 234 pages, plus 68 pages of appendices.



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