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OCC Bulletin
December 8, 2000 |
Risk-Based Capital -- Securities Borrowing Transactions This bulletin transmits an interim rule and a request for comment on the risk-based capital treatment of securities borrowing transactions in which the borrower of the security posts cash collateral...   |
OCC Bulletin
April 9, 2002 |
Risk-Based Capital A final rule permits banks to reduce the risk weight on certain claims against qualifying securities firms from 100 percent to 20 percent... |
OCC Bulletin
May 9, 2006 |
Revised Interagency Statement Open for Comment The attached interagency statement describes revised sound practices for managing complex structured finance activities that may pose heightened legal or reputational risks to financial institutions. |
FDIC FYI
October 11, 2005
Michael H. Krimminger |
FYI: An Update on Emerging Issues in Banking Adjusting the rules: What bankruptcy reform will mean for financial market contracts. |
OCC Bulletin
January 15, 2004 |
Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16. |
OCC Bulletin
January 5, 2007 |
Complex Structured Finance Transactions: Notice of Final Interagency Statement Modifications to the initial statement address issues and concerns raised by commenters. |
OCC Bulletin
December 6, 2000 |
Risk-Based Capital The Agencies are proposing to modify the risk-based capital treatment on claims against certain securities firms. The proposal would reduce the risk weight on claims on, or guaranteed by, qualifying securities firms to 20 percent from 100 percent... |
OCC Bulletin
November 15, 1999 |
Risk-Based Capital Interpretations Credit Derivatives A new issuance addresses the risk-based capital treatment of certain synthetic securitization transactions involving credit derivatives. The objective of these capital interpretations is to recognize the effective transference of the economic risk of loss in these transactions... |
OCC Bulletin
October 14, 2005 |
Real Estate Appraisal Exemptions in Major Disaster Areas The exceptions are available for transactions that involve real property in major disaster areas when the exceptions would facilitate recovery from the disaster. |
OCC Bulletin
October 6, 2005 |
Electronic Filing and Disclosure of Beneficial Ownership Reports This final rule, which applies to national banks that register their securities with the Office of the Comptroller of the Currency, amends the OCC's rules governing application of Securities Exchange Act disclosure rules to national banks (12 CFR 11). |
OCC Bulletin
December 28, 2006 |
Risk-Based Capital: Domestic Capital Modifications This Notice of Proposed Rulemaking is applicable to banking organizations that are not subject to the Basel II NPR that was separately proposed on September 25, 2006. |
OCC Bulletin
April 28, 2004
Tommy Snow |
Regulatory Capital - Asset-Backed Commercial Paper Programs Interim final rule on asset-backed commercial paper programs published in the Federal Register on April 26. |
OCC Bulletin
June 26, 2003 |
Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934 |
OCC Bulletin
May 7, 2003 |
Changes to Part 5 The interim rule amends 12 CFR 5.2 to expressly provide that the OCC may permit national banks to make any class of filings electronically and refers national banks to the Comptroller's Licensing Manual to find information about the filings that are available for electronic submission. |
| OCC Bulletin |
Fair Credit Reporting Medical Information Regulations Section 411 of the Fair and Accurate Credit Transactions Act prohibits creditors from obtaining or using medical information pertaining to a consumer in connection with any determination of the consumer's eligibility, or continued eligibility, for credit. |
OCC Bulletin
December 6, 2005 |
Interim Final Rule: Assessment of Fees The interim final rule revises the current process for assessment collection. |
OCC Bulletin
December 20, 2006 |
Revisions to 12 CFR 215 The Federal Reserve System has published amendments to 12 CFR 215 (Regulation O) in the Federal Register, removing certain reporting requirements regarding extensions of credit to bank insiders. |
OCC Bulletin
February 28, 2001 |
Bank-Provided Account Aggregation Services This bulletin discusses the risks of bank-provided account aggregation services, and suggests control mechanisms banks should consider when they offer aggregation services. |
OCC Bulletin
September 14, 2001 |
Consumer Protections for Depository Institution Sales of Insurance These rules implement Section 305 of the Gramm-Leach-Bliley Act and apply to retail sales practices, solicitations, advertising, or offers of any insurance product or annuity by a depository institution... |
OCC Bulletin
December 6, 2001 |
Risk-Based Capital-Recourse, Direct Credit Substitutes and Residual Interests The final rule amends the agencies' regulatory capital standards to align more closely the risk-based capital treatment of recourse obligations and direct credit substitutes... |
OCC Bulletin
August 17, 2000 |
Bank Secrecy Act An interim rule amended the exemption provisions for filing currency transaction reports contained in the Bank Secrecy Act... |
Wall Street & Technology
March 21, 2006
Tim Lind |
Counterparty Data Challenge Knowing the total relationship a financial institution has with its customer and its counterparty is key -- but only if the data is trustworthy. |
OCC Bulletin
December 1, 2006 |
Notice of Comptroller of the Currency Fees All national banks and federal branches and agencies should be aware of changes in fees charged by the Office of the Comptroller of the Currency for the year 2007. These changes are effective January 1, 2007. |
OCC Bulletin
December 1, 2005 |
Notice of Comptroller of the Currency Fees for Year 2006 Several permanent changes to the assessment collection process will be implemented beginning with the assessment that normally would be due January 31, 2006. These changes are based on revisions to the assessment regulations recently adopted by the OCC |
| OCC Bulletin |
Regulatory Capital---Asset-Backed Commercial Paper and Early Amortization The interim final rule and the notice of proposed rulemaking amend the risk-based capital standards for the treatment of assets in asset-backed commercial paper and certain securitizations with early amortization provisions. Comments on these rulemakings are requested. |
Wall Street & Technology
November 17, 2008
Penny Crosman |
Wall Street Taking A Closer Look at Collateral Management In the wake of the credit crisis, JPMorgan, BNY Mellon, many of the top broker-dealers and a few buy-side firms are all involved in collateral management technology upgrades. |
OCC Bulletin
January 13, 2004 |
Preemption and Visitorial Powers Two new final rules deal with the applicability of state law to national banks and the OCC's current regulation concerning the scope of the agency's "visitorial powers" over national banks. |
CFO
September 1, 2012
Vincent Ryan |
Repos Come Under Fire Repos, or repurchase agreements, are a key source of short-term financing for Wall Street banks and other financial institutions, and they are under scrutiny once again for being fraught with risk. |
OCC Bulletin
October 20, 2003 |
Bank Secrecy Act Examination Procedures The examination procedures allow examiners to tailor the examination scope according to the reliability of the bank's compliance management system and the level of risk assumed by the institution. |
OCC Bulletin
April 4, 2001 |
Leveraged Financing Guidance for bankers and examiners that more fully describes supervisory expectations regarding sound practices for leveraged financing activities. |
OCC Bulletin
August 15, 2006 |
Assessment of Fees: Final Rule The attached final rule amends part 8 of the OCC's rules concerning the timing of payments of OCC assessments. The effective date of the final rule is August 24. |
OCC Bulletin
May 22, 2002 |
Unsafe and Unsound Investment Portfolio Practices Description: Supplemental Guidance This bulletin alerts banks to the potential risk to future earnings and capital from poor investment decisions made at the current low level of interest rates... |
OCC Bulletin
March 11, 2002 |
Country Risk A recently issued statement describes the elements of an effective country risk management process. These principles will guide examiners when they evaluate the management of country risk in internationally active banks... |
OCC Bulletin
May 19, 2004 |
Complex Structured Finance Transaction Notice of joint statement with request for public comment on the attached interagency statement concerning the complex structured finance activities of financial institutions. |
OCC Bulletin
July 15, 1999 |
Summary of the Basel Committee's Consultative Document: "A New Capital Adequacy Framework" The paper describes a framework for bank supervision and regulation that contains three "pillars" -- a regulatory capital minimum, an enhanced supervisory review process, and more effective use of market discipline through disclosure. |
OCC Bulletin
August 15, 2006 |
Authentication in an Internet Banking Environment Just-released "frequently asked questions" (FAQs) are designed to aid in the implementation of the interagency guidance on Authentication in an Internet Banking Environment. |
Wall Street & Technology
September 19, 2006
Tim Clark |
The Quiet Market Explosion While most of the industry has been focusing on exotic investment products and emerging markets, the securities lending market has boomed into a $16 trillion business. But with rapid growth comes substantial risk. |
OCC Bulletin
November 1, 2001 |
Third-Party Relationships This bulletin provides guidance to national banks on managing the risks that may arise from their business relationships with third parties... |
OCC Bulletin
March 23, 2001 |
Working Group on Public Disclosures The private sector Working Group on Public Disclosure recently issued a report recommending several enhancements to public disclosure for large banking organizations and securities firms in the areas of credit and market risk... |
OCC Bulletin
May 17, 2002 |
Interagency Advisory Interagency advisory on the regulatory capital treatment of accrued interest receivable related to credit card securitizations... |
OCC Bulletin
July 13, 2001 |
Investment Securities; Bank Activities and Operations; Leasing The final rule amends parts 1, 7, and 23 to address changing industry practices and recent statutory amendments... |
Global Services
January 24, 2008 |
Negotiating Service Deals with Equity Services transactions with an equity component are complicated and are associated with a wide range of risks factors. However, they can create positive financial returns if structured carefully. Here are a few guidelines on how to structure such transaction agreements. |
Bank Systems & Technology
July 22, 2010
Penny Crosman |
U.S. Consumers More Willing to Bank, Make Payments Via Mobile Device They still lag the rest of the world, but 16% of U.S. consumers now say they're comfortable with mobile banking and mobile payments, according to a KPMG study. |
| OCC Bulletin |
Classification of Securities The revised agreement for the "Uniform Agreement on the Classification of Assets and Appraisal of Securities Held by Banks and Thrifts" was issued on June 15, 2004. |
The Motley Fool
March 18, 2008
William Trent |
What Can the Fed Do? The Federal Reserve did not "bail out" Bear Stearns. Read on to learn more about what the Fed can, and cannot, do. |
The Motley Fool
October 16, 2008
Zoe Van Schyndel |
The Risky Business of Securities Lending Is your mutual fund betting with your money? |
AskMen.com
Terence Channon |
Online Banking Your bank may offer you access to more services online than you think -- services that might make your life a whole lot easier if you use them properly. |
OCC Bulletin
February 20, 2001 |
Bank Secrecy Act/Anti-Money-Laundering The attached guidance was issued to help U.S. financial institutions avoid transactions that may involve the proceeds of foreign official corruption. |
CFO
October 1, 2006
Fink & Durfee |
The 2006 CFO Survey of Trends in Banking Finance executives' concerns about the banking industry. |
Wall Street & Technology
November 27, 2007
Melanie Rodier |
Equity Transactions Boom Across Global Exchanges As the global capital markets undergo a series of major structural changes, the number of equity transactions has exploded globally by an average increase of 44% from 2006 to 2007, according to a new report. |
