Regulators often cite shortcomings in a holding company’s policies and procedures as the cause of many problems and potential compliance violations. Policies must be written so that everyone in your organization can understand them, and the procedures that implement them must be consistent. Both policies and procedures must also accurately reflect your goals.

This is the only policies and procedures tool designed specifically for bank holding companies. You get everything you need to organize, design, revise, and implement effective policies and procedures. Clear, step-by-step guidance helps you develop policies and procedures for your BHC and its subsidiaries that do everything management and the examiners ask. And timely periodic updates help you keep them up to par.

• Sample policies and procedures on all aspects of holding company activities let you easily adapt them for your own bank holding company’s specific strategic goals and situation.
• Covers subsidiary activities requiring policies and procedures from the holding company.
• Focuses on risk management and source-of-strength to ensure that your policies and procedures adequately address regulatory concerns.
• Includes sample policies and procedures for new activities so you can see what’s required ahead of time.
• Chapter on regulatory inspection helps you use your policies and procedures to prepare and demonstrate your strength.
• Lets you know what the examiners will look for and how to give the information they want

About the Author

In 1988, Jerry Miller founded Regulatory Compliance Associates, Inc. (REGCOM) for the purpose of providing proactive regulatory compliance products and services to financial institutions. Mr. Miller was formerly with the Office of the Comptroller of the Currency (OCC) as a field examiner and member of the OCC Chicago Regional/District management team. He also served as Midwest practice leader for KPMG Peat Marwick’s Financial Institutions Regulatory Compliance Consulting Practice Group.

With a wide range of regulatory examination and financial institution experience, REGCOM’s staff has experience in assisting management and directorates of complying with regulations, design and development of individual regulatory compliance programs for financial institution clients of all sizes, training, and regulatory agencies, REGCOM is positioned to maintain the reputation earned as a valued resource for financial institutions’ regulatory risk needs. As author of numerous publications covering a variety of management and regulatory focus areas, REGCOM offers proactive information and solutions to all levels of staffing within the financial services industry.

You might also be interested in:

• Bank Compliance Expert on CD
• Bank Policies, Bank Procedures & Audit (Print and Electronic)

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