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June 2018

Compliance Management Systems

This publication is part of:

Collection: Comptroller's Handbook

Series: Consumer Compliance


The consumer compliance risk management principles in this booklet reflect the OCC's risk-based supervision approach and are consistent with the OCC's assessment of banks' risk management systems and the interagency consumer compliance rating definition.


This booklet applies to the OCC's supervision of national banks and federal savings associations. References to national banks in this booklet also generally apply to federal branches and agencies of foreign banking organizations. Refer to 12 USC 3102(b) and the "Federal Branches and Agencies Supervision" booklet of the Comptroller's Handbook for more information.