(205 ILCS 205/12001)
Sec. 12001.
Compliance review.
(a) As used in this Section:
"Affiliate" means a corporation whose stock is at least 80% owned by
the depository institution or a corporation that directly or indirectly owns
at least 80% of the depository institution.
"Depository institution" means a State or national bank, a State or federally
chartered savings and loan association, or a State or federally chartered
savings bank that is engaged in the business of banking in Illinois as
appropriate.
"Compliance review committee" means:
(1) one or more persons assigned by management or |
| appointed by the board of directors of a depository institution for the purposes set forth in subsection (b); or
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(2) any other person to the extent the person acts in
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| an investigatory capacity at the direction of a compliance review committee.
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"Compliance review documents" means documents prepared in connection with a
review or evaluation conducted by or for a
compliance review committee.
"Person" means an individual, a group of individuals, a board committee,
a partnership, a firm, an association, a corporation, or any other entity.
(b) This Section applies to compliance review committees whose functions
are to evaluate and seek to improve any of the following:
(1) loan policies or underwriting standards;
(2) asset quality;
(3) financial reporting to federal or State
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| governmental or regulatory agencies; or
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(4) compliance with federal or State statutory or
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(c) Except as provided in subsection (d) of this Section:
(1) Compliance review documents are confidential and
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| are not subject to discovery or admissible in evidence in any civil action.
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(2) Individuals serving on compliance review
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| committees or acting under the direction of a compliance review committee shall not be required to testify in any civil action about the contents of any compliance review document or conclusions of any compliance review committee or about the actions taken by a compliance review committee.
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(3) Compliance review documents delivered to an
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| affiliate or a State, federal, or foreign governmental or regulatory agency shall remain confidential and are not discoverable or admissible in evidence in any civil action.
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(d) This Section does not apply to: (1) compliance review committees on
which
individuals serving on or at the direction of the compliance review committee
have
management responsibility for the operations, records, employees, or activities
being examined or evaluated by the compliance review committee and (2) any
civil action initiated by any federal or State regulatory agency.
(e) This Section shall not be construed to limit the discovery or
admissibility in any civil action of any documents other than compliance review
documents.
(Source: P.A. 89-364, eff. 8-18-95.)
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