Board of Directors Compliance Manual

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Author(s): Ed Pace
Price: $525
Product Category: Executive Management, Compliance
Format: 3-Ring Binder/CD
Frequency: 4 updates annually
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Protect your board from future regulatory difficulties

The Board of Directors Compliance Manual helps you meet all the regulatory requirements placed on your bank and board of directors. This manual and CD is based upon a series of seminars conducted by the FDIC on the compliance requirements being placed on directors by federal regulators. The manual includes the FDIC's requirements; as well as material from both the OCC and the FRB and is your directors' comprehensive guide to the things they are required to know and the things they are required to do.

The manual is divided into eight functional areas:

Board Duties, Responsibilities and Organization — Discussion topics include board member duties, responsibilities and liabilities. Also discussed are how the board should be organized and a special need for an executive committee.
Risk Management — The duties and responsibilities of a board risk management committee are discussed as well as bank risk management procedures explaining how to develop a formal risk management system that meets regulatory requirements. Includes important information on investments and funds management, interest rate risk management, liquidity management and capital management.
Internal Controls — Provides guidance on bank internal controls and on how to meet the internal control requirements laid on banks contained in the Sarbanes-Oxley Act.
External Audits — Covers in detail what the board has to do to meet its external audit regulatory requirements.
Compliance — Discusses the board's compliance responsibilities and then spells out in detail a practical plan for meeting these requirements.
Lending Oversight — Discusses in detail how the board should meet its lending oversight responsibilities; and gives model lending policies that might be adopted by the board--which make excellent board training discussion papers.
Planning and Budgeting — Focuses on how strategic planning works, and provides a model strategic plan, as well as including discussion on financial planning procedures, a model financial plan and budgeting procedures.
Regulatory Board Documents — Includes important regulatory documents pertaining specifically to boards of directors.

A superb training program for individual directors!

The manual and CD make up a superb training program for individual directors. You can use the CD to educate your directors to become current on matters that affect them, the board, and the bank.

About the Author

Ed Pace has spent many years as a banker, bank consultant, financial writer, and teacher. While a banker, he worked in numerous roles at the First National Bank in Albuquerque, New Mexico. In 1980, he made a career change from banking to bank writing and teaching. As of this printing, he is in his twenty-sixth year of a prolific financial writing/teaching/consulting career.

For the past 25 years, Mr. Pace has written extensively for Sheshunoff and is currently a Senior Vice President of Sheshunoff Information Services. He was the author of the company's flagship product, the 16-volume High Performance Management System, as well as the 8-volume Board of Directors Management System and the 9-volume Loan Management System. He also authored Sheshunoff's Community Bank Human Resources Management Manual, Strategic Planning Manual, Community Bank Marketing Manual, and the Chairman's Desk Reference Manual. In addition, Mr. Pace has co-authored eight Sheshunoff publications, including Senior Loan Officer's Desk Reference, Bank Operations and Administration Desk Reference, CEO's Operations and Management Desk Reference, Commercial Loan Officer's Desk Reference, and Real Estate Loan Officer's Desk Reference.