Title 6 — Banks and Banking
45 chapters · 536 sections in this title.
N.D.C.C. § 6-13-01 Definitions
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In this chapter, unless the context or subject matter otherwise requires: 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 o…
N.D.C.C. § 6-13-02 Self-critical analysis privilege created - Scope
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A compliance self-critical analysis privilege is created to protect the confidentiality of compliance self-critical analysis documents or communications in regard to their content relating to voluntary internal compliance audits conducted by financial institutions and persons in …
N.D.C.C. § 6-13-03 Compliance self-critical analysis document not discoverable or admissible
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Except as provided in this chapter, a compliance self-critical analysis audit document is privileged information and is not discoverable or admissible evidence in any legal action in any civil, criminal, or administrative proceeding. The privilege is a matter of substantive law o…
N.D.C.C. § 6-13-04 Application of privilege
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If a financial institution, person, or entity performs or directs the performance of a compliance audit, an officer, employee, or agent involved with the compliance audit, or any consultant who is hired for the purpose of performing the compliance audit, may not be examined in an…
N.D.C.C. § 6-13-05 Submission to commissioner
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1. Upon request of the commissioner, a financial institution must submit a compliance self-critical analysis audit document to the commissioner, or the commissioner's designee, as a confidential document under the provisions of section 6-01-07, without waiving the privilege set f…
N.D.C.C. § 6-13-07 Determination of privilege - Procedure
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1. If a person seeks from a financial institution communications involving a compliance audit or any compliance self-critical analysis audit document during the course of a pending civil or criminal proceeding, the financial institution may assert the self-critical analysis privi…
N.D.C.C. § 6-13-08 Privilege - Burden of proof - Stipulation
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A financial institution asserting the compliance self-critical analysis privilege set forth in this chapter has the burden of demonstrating the applicability of the privilege. Once a financial institution has established the applicability of the privilege, a party seeking disclos…
N.D.C.C. § 6-13-09 Nonapplication of privilege
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The self-critical analysis privilege set forth in this chapter does not extend to: 1. Documents, communications, data, reports, or other information expressly required to be collected, developed, maintained, or reported to a regulatory agency pursuant to this title, or other fede…