North Dakota Century Code Title 6. Banks and Banking § 6-13-01. Definitions

1. “Commissioner” means the commissioner of financial institutions.

2. “Compliance audit” means a voluntary, internal evaluation, review, assessment, audit, or investigation for the purpose of identifying or preventing noncompliance with, or promoting compliance with, laws, regulations, orders, or industry or professional standards, which is conducted by or on behalf of a financial institution.

3. “Compliance self-critical analysis audit document” means a document prepared as a result of or in connection with a financial institution's compliance audit. A compliance self-critical analysis audit document may include a written response to the findings of a compliance audit. A compliance self-critical analysis audit document may include, as applicable, field notes and records of observations, workpapers, findings, opinions, suggestions, conclusions, drafts, memoranda, drawings, photographs, exhibits, computer-generated or electronically recorded information, telephone records, maps, charts, graphs, and surveys, provided this supporting information is collected or developed for the primary purpose and in the course of a compliance audit. A compliance self-critical analysis audit document also includes:

4. “Financial institution” means any organization authorized to do business under state and federal laws relating to financial institutions, including a bank, the Bank of North Dakota, a savings bank, a trust company, a savings and loan association, or a credit union.