How to Audit Deposit Operations for Reg CC & D Compliance

Thursday, March 9, 2017

10:00 am – 11:30 am HST
12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

When reviewing exam reports for deposit operations, most regulatory citations fall under Reg CC and Reg D. When violations occur, examiners expect you to find the root cause(s), implement corrective actions, and avoid repeat violations. That’s why auditing for compliance with these regulations is so important. Errors often aren’t detected through internal monitoring and can repeat themselves! Join us to learn how to audit for Regs CC and D and avoid the errors which cause exam citations.

Continuing Education: Attendance verification for CE credits upon request


  • Audit checklist for Regulation CC disclosures
  • Audit program to test Reg CC hold notices and system reports
  • Reg D requirements and how to audit and test for the number and types of transactions from a savings account
  • Overview of sample audit report format for both regulations
  • Examples of common errors and possible causes

    • Sample audit checklists for Regulation CC and Regulation D
    • Monitoring worksheets to spot check compliance standards
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key


This informative session is designed for auditors. Compliance officers, deposit operations personnel, and frontline staff will also benefit from this webinar.

PLEASE NOTE: Webinar content is subject to copyright and intended for your individual financial institution’s use only.