Focuses on the regulatory examination process and keys for administering the exam process to ensure success. Describes the role and examination approach for different regulatory agencies, establishing responsibilities for bank employees and reducing the impact on bank operations. Covers responding to unfavorable exam results, appeals process and viewing the relationship as a partnership.
After completing this course, students will be able to:
• Explain bank and regulatory objectives for examinations
• Identify the tools used by regulatory agencies to execute the supervisory process
• Describe fundamental components of exam management from the regulatory perspective
• Describe fundamental components of exam management from the bank perspective
• Identify leading practices for exam management