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OCC Bulletin
July 12, 1999 |
Year 2000 FDIC Asset Liability Backup Program FDIC's interim final rule dealing with the backup of limited deposit and loan account information. The rule only applies to insured depository institutions with "needs improvement" and "unsatisfactory" Year 2000 ratings on or after July 31, 1999.   |
OCC Bulletin
February 28, 2005 |
Interagency Advisory The advisory reminds financial institutions of the confidential nature of an institution's report of examination, which includes the CAMELS or other supervisory rating, as well as other nonpublic supervisory information. |
U.S. Banker
November 2009
Kaper & Hopkins |
Dodd's Power of Persuasion Facing long odds, the Banking Committee Chairman builds support for a plan to create a prudential regulator. But would a single agency kill the dual banking system? |
OCC Bulletin
February 3, 2006
Emory W. Rushton |
Hurricane Katrina: Guidance to Examiners This issuance transmits guidance regarding supervisory practices to be followed in assessing the financial condition of financial institutions directly affected by Hurricane Katrina. |
OCC Bulletin
July 15, 2004 |
FFIEC Information Technology Examination Handbook Providing the latest guidance on the outsourcing of technology services and the management of information technology, these booklets from the Federal Financial Institutions Examination Council continue a series of updates for the Council's 1996 Information Systems Examination. Handbook. |
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
July 18, 2001 |
Examination Procedures Examination procedures to evaluate compliance with the guidelines to safeguard financial institution customer information... |
Bank Director
1st Quarter 2011
Jack Milligan |
In the Eye of the Storm Former Comptroller of the Currency John C. Dugan speaks candidly about the financial crisis of 2008, the landmark Dodd-Frank Act and the need for minimum loan underwriting standards for the banking industry. |
OCC Bulletin
May 25, 2001 |
Privacy of Consumer Financial Information: 12 CFR 40 The Federal Financial Institutions Examination Council has approved uniform examination procedures to verify compliance with the implementing Privacy of Consumer Financial Information rules... |
U.S. Banker
March 2008
Anthony Malakian |
Bankers Bemoan Elimination Of Popular Merit Program Given the popularity of the Merit program among community bankers, they were none too pleased to hear the Federal Deposit Insurance Corp. made the controversial decision to eliminate it. |
BusinessWeek
October 14, 2010
Schmidt & Mattingly |
A Thrift Regulator Fades (Sort of) into the Sunset The Office of Thrift Supervision, scheduled to expire in July 2011, will reappear in other government agencies. |
U.S. Banker
August 2010
Mark W. Olson |
Endangered Species: The State Banking Charter Should state legislatures continue to see value in funding their state bank regulators, the charter in those states would continue to have viability. |
OCC Bulletin
July 5, 2001 |
Assessment of Fees: Independent Credit Card Banks; Lower-Rated Institutions Under the rule, a national bank will be deemed an "independent credit card bank" if it engages primarily in credit card operations and is not affiliated with a full-service national bank. The OCC will continue to assess independent credit card banks based on balance sheet assets... |
Investment Advisor
July 1, 2011
Thomas D. Giachetti |
Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam. |
OCC Bulletin
March 28, 2005 |
Credit Risk Proposed changes for the classification of commercial credit exposures, which are used to identify higher risk commercial loans and determine classified loan ratios. |
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
May 21, 2003 |
FFIEC Information Technology Examination Handbook The Federal Financial Institutions Examination Council has issued updated guidance in two booklets, one on business continuity planning (BCP), and the other on FFIEC supervision of technology service providers. |
Investment Advisor
August 2006
Thomas D. Giachett |
Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process. |
U.S. Banker
March 2010
Joe Adler |
Get Ready for Rising Rates Near-zero interest rates won't last forever, and regulators are warning banks -- particularly those that added long-term assets using short-term funds -- to take steps to manage their risk. |
U.S. Banker
August 2009
Alan Kline |
Abolishing the OTS Could Raise Capital Concerns A case could be made that eliminating the Office of Thrift Supervision might spook investors and, in turn, limit the institutions capital-raising options. |
Bank Director
2nd Quarter 2010
Jack Milligan |
Knee Deep in Regulation As part of the fallout from the latest financial crisis, bankers are wading through new layers of regulation while scanning for clearer skies ahead. |
The Motley Fool
September 21, 2009
Morgan Housel |
How Bad Are These Bank Failures? Let's take a look at the coming wave of bank failures compared to other banking meltdowns. |
Bank Director
4th Quarter 2010
Scott Sorrels |
Do I Need to Get My Own Lawyer? There are times when directors and officers of a troubled financial institution facing an enforcement order should consider hiring counsel, separate and apart from bank counsel, to best protect their personal interest. |
Bank Director
4th Quarter 2010
John R. Engen |
Back in the Saddle Former FDIC chairman Bill Isaac has taken the reins as the new chairman of Fifth Third Bancorp. Here, he talks about his career, growing the bank, and why, in his view, Dodd-Frank is an unmitigated disaster. |
Bank Systems & Technology
June 18, 2009
Maria Bruno-Britz |
The Financial Industry Reacts to Obama Regulatory Proposal Although most agree with the general principles outlined in the President's financial reform plan, they find several sticking points -- and IT won't be immune. |
Bank Director
2nd Quarter 2011
Jack Milligan |
Cautious Optimism: Returns to Bank M&A A gradual improvement in asset quality industry wide, along with unprecedented pressure from regulators, is helping to revive the bank M&A market after three lean years -- although prices might never return to their lofty highs of past cycles. |
U.S. Banker
February 2009
Anthony Malakian |
Community Banks Paying for Bigger Brothers' Sins Community bankers have many reasons to be pessimistic about 2009, including the added pressure of the Federal Deposit Insurance Corporation raising the risk-based assessment rates in order to restore the Deposit Insurance Fund. |
Bank Director
2nd Quarter 2010
Eugene A. Ludwig |
Discerning the New Financial Services Landscape The former U.S. Comptroller of the Currency and vice chairman of Bankers Trust/Deutsche Bank, offers his views on what is likely to come out of upcoming reform legislation as well as areas that are far from clear. |
FDIC FYI
December 10, 2003
Steven Burton |
A Portfolio Perspective for Evaluating the Adequacy of the Insurance Funds FDIC economists have teamed up with prominent members of the academic community to develop a state-of-the art approach to measure risks posed to the bank (BIF) and savings association (SAIF) insurance funds. |
OCC Bulletin
June 22, 2001 |
Assessment of Fees; Special Examination of Third Party Service Providers The OCC has authority to charge a national bank when the OCC conducts a special examination of a third party that provides services to the bank... |
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... |
BusinessWeek
September 30, 2009
Theo Francis |
The FDIC's Gift to Banks The FDIC's plan to raise roughly $45 billion to help dodge a cash crunch also offers a way for financial firms to boost capital and profits. |
OCC Bulletin
September 2, 2004 |
FFIEC Information Technology Examination Handbook Description The Federal Financial Institutions Examination Council (FFIEC) has issued two booklets that provide updated guidance on information technology operations and wholesale payment systems. |
FDIC FYI
March 11, 2002 |
Bank Auditing and Accounting Faces Scrutiny Regulators should consider strengthening the ground rules governing bank auditing and accounting, according to FDIC Chairman Don Powell... |
Investment Advisor
June 2009
Thomas D. Giachetti |
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures. |
Bank Director
3rd Quarter 2009
TK Kerstetter |
A Tribute to Bill Seidman Bank Director honors its late publisher, supporter, and friend, Bill Seidman, who passed away this year. |
CFO
April 1, 2011
Vincent Ryan |
The Big Fail Despite the reach of Dodd-Frank, the "too-big-to-fail" bank dilemma lives on. |
FDIC FYI
September 11, 2002 |
Progress in the Financial War on Terrorism This article summarizes the progress that has been made over the past 12 months in the financial war on terrorism. |
OCC Bulletin
December 1, 2004 |
Notice of Comptroller of the Currency Fees for Year 2005 The purpose of this issuance is to inform all national banks and federal branches and agencies of fees charged by the Office of the Comptroller of the Currency for year 2005. Changes are effective January 1, 2005. |
HBS Working Knowledge
December 21, 2009
Roger Thompson |
Good Banks, Bad Banks, and Government's Role as Fixer In his new book, Too Big to Save, HBS senior lecturer Robert Pozen tells us how to fix the system. |
Bank Director
4th Quarter 2010
John R. Engen |
Welcome to the Great Unknown The ink is dry on Dodd-Frank, and now bank executives and board members are cracking open the 2,300-page rulebook to try to discern what it all means for the industry going forward. |
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... |
AskMen.com
June 22, 2003
Dan Carter |
How To Protect Your Money As money is likely the end goal of your long, hard hours of work, protecting it should be one of your top priorities. To enjoy the fruits of your labor, certain measures should be taken to insure that the cash you earn stays in your pocket. |
OCC Bulletin
February 5, 2003 |
FFIEC Information Security Booklet The Federal Financial Institutions Examination Council (FFIEC) has released updated information security guidance in the form of a new Information Security Booklet. |
U.S. Banker
March 2008
Karen Krebsbach |
Is the OTS Obsolete? The Office of Thrift Supervision is the smallest and the agency most vulnerable to elimination, particularly with Countrywide's acquisition by Bank of America and Washington Mutual's uncertain fate. |
OCC Bulletin
March 30, 2006 |
Controlling the Assault of Non- Solicited Pornography and Marketing Act of 2003 (CAN-SPAM) The Federal Financial Institutions Examination Council's Task Force on Consumer Compliance approved interagency consumer compliance examination procedures for CAN-SPAM and FTC regulations pertaining to sexually oriented materials. |
U.S. Banker
June 2011
Joe Adler |
The Feds Are Coming New directors and officers coverage protects nonbank financial services directors pay from government clawbacks -- making the idea of FDIC nonbank seizures not so abstract. |
OCC Bulletin
October 12, 2005 |
Authentication in an Internet Banking Environment This updated interagency guidance specifically addresses the need for risk-based assessment, customer awareness and security measures to authenticate customers using a financial institution's Internet-based services. |
OCC Bulletin
January 31, 2001 |
Subprime Lending While the OCC believes that responsible subprime lending can expand credit access for consumers and offer attractive returns for bankers, during recent years institutions engaged in subprime programs have represented a disproportionate number of problem institutions... |
Bank Director
4th Quarter 2009
William M. Aukamp |
Some Thoughts on Regulatory Reform Before creating a new agency, Congress should be mindful of the already-heavy compliance burden born by banks. |
