Self-Assessment and Regulatory Compliance Review is more than a compliance manual. It contains additional elements that, in addition to the manual, provide useful tools for maintaining compliance. These tools include:

•  A risk-based operational checklist for each regulation

•  A risk-assessment matrix to assist you in identifying your level of compliance risk, and

•  A calendar of regulatory events

The operational checklists allow you to perform an assessment of your degree of compliance with each regulation. They are provided in a format that allows you to perform this assessment from a management perspective by looking at the operations of the institution. Checklists are in a form that can easily be modified to reflect the size, location, products and services of individual financial institutions.

With regular updates, this manual allows you to look at your institution through the perspective of an examiner.