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Document Type: Excel

CCG Catalyst Bank Audit Findings Form

Use this form at the end of an audit and/or an examination.

The key to the form is the description of the cause of the finding and the action plan to address the cause.  This form can and should be shared with the examination staff.

Probably the most efficient way to determine the strengths and weakness of the Compliance Management Program is by reviewing the findings of internal audit, and examinations as well as quality control checks.

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