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Regulatory Examination Process - Federal Deposit Insurance ...

11 Regulatory Examination ProcessRegulatory Examination Process22 ObjectiveObjective To provide general Examination -related concepts and terms used by regulators33 RegulatorsRegulators Most common Regulatory agencies that will interact with your bank: FDICI nsures deposits and conducts examinations State Banking AgencyIssues charters and conducts examinations The Federal ReserveRegulates bank s holding company44 Examination ProcessExamination Process The bank receives a request letter for various schedules and information such as: Balance sheet and income statement written policies and procedures Latest board packet Board minutes Reports (Past Due, Audits, Problem Loans etc.)55 Examination Process ContinuedExamination Process Continued Off-Sitereview of information requested from the bank and gathered from other sources On-Sitereview which includes in-depth discussions with management Exit Meeting where findings and ratings are presented to management Examiners may also meet with the board to discuss findings The FDIC issues a written Report of Examination66 Examination RatingsExamination Ratings

Regulates bank’s holding company. 4 ... – Balance sheet and income statement – Written policies and procedures – Latest board packet – Board minutes – Reports (Past Due, Audits, Problem Loans etc.) 5 ... therefore the highest degree of supervisory concern. 8

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