1. Comment Period Participation 1 Percent Submitting More Than One Formal Comment Letter/Year

2. BSA/AML Focus 2 Percent Reporting BSA/AML Exam Diverted Resources During Review

3. Measuring Compliance Risk 3 Percent Managing Compliance Risk as Part of Operations Risk

4. Compliance Risk for New Products 4 2007 Always 2009 Always 2009 Usually & Always 2009 Occasionally & Never

5. Test Employees’ Compliance Knowledge 5 Percent That Test Employees After Formal Training

6. Staffing 6 Size of Staff Relative to 2007

7. Board’s Compliance Engagement 7 Percent Whose Examiners Have Encouraged More Board Involvement Board Provides Required Support 2009

8. Board’s Compliance Engagement 8 Percent Whose Boards Review Compliance Budget Board Provides Required Support 2009

9. Partners’ Regulatory Compliance 9 Percent That Track Partners’ Regulatory Compliance

10. Engagement in Affiliated Business 10 Percent Engaged in Affiliated Business Which Must be Disclosed Under RESPA

11. Compliance Duties as Part of Job 11 Percent Which Include Compliance Duties in Job Description

12. Ombudsman Contact 12 Percent Having Contacted Their Regulator’s Ombudsman on a Compliance Issue