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Compliance Examination Manual

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The FDIC’s Compliance Examination Manual (Manual) has been revised effective June 2009. The last revised date for each section is indicated here on the website as well as in the footer of each page.

This printable (PDF) version is designed to be printed on two sides and on three-hole punched paper. Each holder of the Manual will be responsible for printing and updating their own hard copy which will allow for more timely updates. Unless specified, each section is less than 250kb.

The following list of dates corresponds to changes in the manual.

June 2009 Revised Manual

     
Last Updated
I Manual Introduction 06/2009
II Compliance Examinations
  II-1.1 Overview of Compliance Examinations 06/2009
  II-2.1 Compliance Management System 06/2009
  II-3.1 Pre-Examination Planning 06/2009
  II-4.1 Review and Analysis 06/2009
  II-5.1 Communicating Findings 06/2009
  II-6.1 Documenting the Examination 06/2009
  II-7.1 Investigations and Visitations 06/2009
  II-8.1 Enforcement Actions 06/2009
  II-9.1 Truth in Lending (TIL) Restitution Verification 06/2006
  II-10.1 Appeals 06/2009
  II-11.1 Examination and Visitation Frequency 06/2006
  II-12.1 Consumer Compliance Rating System 06/2006
  II-13.1 Violation Codes (219k) 06/2009
III Examination Templates
  III-1.1 Risk Profile and Scope Memorandum (6.6m) [Word] 06/2009
  III-2.1 Interview Sheet (331k) [Word 448k] 06/2009
  III-3.1 Compliance Information Disclosure Requirement (414k) [Word 741k] 06/2009
  III-4.1 Entry Letters [Word] 06/2006
  III-5.1 Bank of Anytown 06/2009
IV Fair Lending Laws and Regulations
  IV-1.1 Fair Lending Laws and Regulations 06/2006
  IV-2.1 Appendices 06/2006
V Compliance Lending Issues  
  V-1.1 Truth in Lending Act (472k) 06/2009
  V-2.1 Determining Whether TIL Restitution is Required 06/2006
  V-3.1 Real Estate Settlement Procedures Act (RESPA) 06/2006
  V-4.1 Homeownership Counseling Act 06/2006
  V-5.1 Homeowners Protection Act 06/2006
  V-6.1 Flood Disaster Protection 06/2009
  V-7.1 Equal Credit Opportunity Act (ECOA) Regulation 06/2009
  V-8.1 Fair Housing Act (FHAct) 06/2006
  V-9.1 Home Mortgage Disclosure Act (335k) 06/2006
  V-10.1 Consumer Leasing 06/2009
  V-11.1 Servicemembers Civil Relief Act 06/2009
  V-12.1 Talent Amendment 06/2009
VI Compliance Depository Issues  
  VI-1.1 Expedited Funds Availability Act (450k) 06/2006
  VI-2.1 Electronic Fund Transfer Act 06/2009
  VI-3.1 Truth in Savings Act 06/2009
  VI-4.1 Interest on Deposits — Part 329 06/2006
VII Abusive Practices
  VII-1.1 Federal Trade Commission Act, Section 5 Unfair or Deceptive Acts or Practices 06/2006
  VII-2.1 Credit Practices Rule (Regulation AA) 06/2006
  VII-3.1 FTC Rule – Preservation of Claims and Defenses 06/2006
  VII-4.1 Fair Debt Collection Practices Act 06/2006
VIII Privacy and Consumer Information
  VIII-1.1 Gramm-Leach-Bliley Act (Privacy of Consumer Financial Information) (270k) 06/2006
  VIII-2.1 Children’s Online Privacy Protection Act (COPPA) 06/2006
  VIII-3.1 Right to Financial Privacy Act 06/2006
  VIII-4.1 Controlling the Assault of Non-Solicited Pornography and Marketing Act of 2003 06/2006
  VIII-5.1 Telephone Consumer Protection Act 06/2006
  VIII-6.1 Fair Credit Reporting Act 06/2009
IX Retail Sales
  IX-1.1 Retail Investment Sales 06/2006
  IX-2.1 Retail Insurance Sales 06/2006
X Other Compliance Issues
  X-1.1 Advertisement of Membership—Part 328 of FDIC Rules and Regulations 06/2009
  X-2.1 Section 42 of the Federal Deposit Insurance (FDI) Act—Branch Closings 06/2006
  X-3.1 The Electronic Signatures in Global and National Commerce Act (E-Sign Act) 06/2009
  X-4.1 Prohibition Against Use of Interstate Branches Primarily for Deposit Production 06/2006
XI Community Reinvestment Act
  XI-1.1 Community Reinvestment Act 06/2006
  XI-1.1 Small Bank 06/2006
  XI-2.1 Intermediate Small Bank 06/2009
  XI-3.1 Large Bank 06/2006
  XI-4.1 Wholesale/Limited Purpose Institution 06/2006
  XI-5.1 Institutions with Strategic Plans 06/2006
  XI-6.1 CRA Ratings System 06/2006
  XI-7.1 CRA Sunshine – Disclosure and Reporting of CRA-Related Agreements 06/2006
  XI-8.1 Community Contacts 06/2006
  XI-9.1 Sampling Guidelines CRA 06/2006
  XI-10.1 CRA Questions and Answers 06/2009
  XI-11.1 CRA References 06/2009
XII Community Reinvestment Act Performance Evaluation Templates
  XII-1.1 Small Institution 06/2006
  XII-2.1 Intermediate Small Institution, Intrastate 06/2006
  XII-3.1 Intermediate Small Institution, Interstate (257k) 06/2006
  XII-4.1 Large Institution (278k) 06/2006
  XII-5.1 Strategic Plan 06/2006
  XII-6.1 Wholesale and Limited Purpose 06/2006
       





Last Updated 09/25/2009 supervision@fdic.gov

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