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OCC Bulletin
June 16, 2004
Emory W. Rushton |
Certain Foreign Accounts Interagency Advisory: Guidance on accepting accounts from foreign governments, foreign embassies and foreign political figures.   |
OCC Bulletin
May 6, 2005 |
Bank Secrecy Act/Anti-Money Laundering Interagency interpretive guidance on providing banking services to money services businesses operating in the United States. |
OCC Bulletin
July 8, 2004
Emory W. Rushton |
Overdraft Protection Programs The proposed guidance is intended to assist insured depository institutions in the responsible disclosure and administration of overdraft protection services. |
OCC Bulletin
January 5, 2004 |
Banks/Thrifts Providing Financial Support to Funds Advised by the Banking Organization or its Affiliates The purpose of the guidance is to alert banking organizations and examiners of the safety and soundness implications of, and the legal impediments to, a bank providing financial support to investment funds advised by the bank, its subsidiaries or affiliates. |
OCC Bulletin
August 4, 2005 |
Regulatory Capital: Asset-Backed Commercial Paper Liquidity Facilities A jointly issued interagency guidance clarifies the application of the asset quality test set forth in the agencies' final risk-based capital rule on the consolidation of asset-backed commercial paper (ABCP) programs. |
OCC Bulletin
September 28, 1999 |
Risk-Based Capital: Joint Statement As part of their efforts to foster readiness for year 2000, the Federal banking agencies have issued guidance to banking organizations calling for the development of contingency plans to address funding, liquidity, and other issues. |
OCC Bulletin
September 14, 2001 |
Risk-Based Capital The attached joint statement addresses the agencies' supervisory approach to possible temporary balance sheet growth due to potential unusual market responses in the aftermath of the events of September 11. |
OCC Bulletin
March 15, 2006 |
Influenza Pandemic Preparedness This interagency advisory is intended to raise awareness regarding the threat of a pandemic influenza outbreak and its potential impact on the delivery of critical financial services. |
OCC Bulletin
October 5, 1999 |
Risk-Based Capital A joint statement addresses the agencies' supervisory approach to possible temporary balance sheet growth due to potential unusual market responses around the century date change... |
OCC Bulletin
May 23, 2002 |
Covenants Tied to Supervisory Actions in Securitization Documents The purpose of this guidance is to alert both bankers and examiners to the safety and soundness implications of covenants associated with supervisory actions in securitization documents... |
OCC Bulletin
February 11, 2004 |
Deferred Compensation Agreement Accounting This "Interagency Advisory on Accounting for Deferred Compensation Agreements and Bank-Owned Life Insurance" is to provide guidance on the appropriate accounting treatment for deferred compensation agreements that banks enter into with employees. |
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. |
OCC Bulletin
April 23, 2002 |
Parallel-Owned Banking Organizations This statement discusses the characteristics of parallel-owned banking organizations, reviews potential risks associated with these banking organizations, and provides information on supervisory issues... |
OCC Bulletin
December 4, 2002 |
Accrued Interest Receivable This clarifies the appropriate accounting treatment for banking organizations that securitize credit card receivables and record an asset commonly referred to as an Accrued Interest Receivable. |
OCC Bulletin
February 24, 2003 |
Mortgage Banking The purpose of this advisory is to highlight concerns and provide guidance regarding mortgage-banking activities, primarily in the valuation and hedging of mortgage-servicing assets. |
OCC Bulletin
October 4, 2006 |
Home Equity Lending: Addendum to OCC Bulletin 2005-22 The addendum provides guidance addressing the timing and content of communications with consumers obtaining open- end home equity lines of credit that contain an interest-only feature. |
OCC Bulletin
March 22, 2005 |
Appraisal Regulations and the Interagency Statement on Independent Appraisal and Evaluation Functions A joint-agency compiled list of frequently asked questions (FAQ) provides clarification, and reminds banks of the existing standards, concerning independence of the collateral valuation process. |
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. |
OCC Bulletin
April 25, 2005 |
Bank Secrecy Act/Anti-Money Laundering Joint statement on providing banking services to money services businesses. |
OCC Bulletin
August 27, 2003 |
Proposed Guidance and Notice of Information Collection Interagency guidance on response programs for unauthorized access to customer information and customer notice |
OCC Bulletin
May 23, 2002 |
Implicit Recourse in Asset Securitization The purpose of this guidance is to assist both bankers and examiners in assessing what types of post-sale actions may, or may not, constitute implicit recourse... |
| OCC Bulletin |
Accounting for Loan and Lease Losses The guidance addresses recent developments in accounting for loan and lease losses and provides a listing of current, authoritative sources of generally accepted accounting principles in this area. |
OCC Bulletin
February 9, 2006 |
Interagency Advisory on the Unsafe and Unsound Use of Limitation of Liability Provisions in External Audit Engagement Letters Final Advisory: Financial institutions should be on the alert not to enter into external audit arrangements that include certain provisions that the agencies deem to be unsafe and unsound. |
OCC Bulletin
May 3, 2005 |
Accounting and Reporting for Mortgage Loan Commitments Interagency Advisory on Accounting and Reporting for Commitments to Originate and Sell Mortgage Loans |
OCC Bulletin
March 26, 2001 |
Loans Held for Sale This issuance covers the accounting and reporting treatment for certain loans that are sold directly from the loan portfolio or transferred to a held-for-sale account... |
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
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
May 29, 2003 |
Application of Recent Corporate Governance Initiatives to Non-Public Banking Organizations A response to questions the agencies have received concerning whether they intend to require banking organizations to comply with the provisions of the Sarbanes-Oxley Act or the proposed NYSE and NASDAQ listing standards if the banking organizations are not public companies or otherwise subject to the provisions through other laws. |
OCC Bulletin
June 15, 2006 |
Disaster Planning This bulletin transmits the booklet, "Lessons Learned From Hurricane Katrina: Preparing Your Institution for a Catastrophic Event," developed by the Federal Financial Institutions Examinations Council member agencies. |
OCC Bulletin
July 30, 2001 |
Community Reinvestment Act 2001 Interagency Questions and Answers -- a comprehensive interpretation of the Community Reinvestment Act (CRA) regulations... |
OCC Bulletin
January 27, 2006 |
Bank Secrecy Act/Anti-Money Laundering The attached document provides a joint statement on sharing suspicious activity reports with controlling companies. |
OCC Bulletin
June 22, 2006 |
2006 Revisions to Uniform Standards of Professional Appraisal Practice This statement highlights the revisions in Uniform Standards of Professional Appraisal Practice, effective July 1, 2006, and reminds banks to consider the ramifications of the revisions to their appraisal practices. |
OCC Bulletin
May 10, 2005 |
Interagency Advisory on the Unsafe and Unsound Use of Limitation of Liability Provisions and Certain Alternative Dispute Resolution Provisions in External Audit Engagement Letters The advisory alerts financial institutions to the safety and soundness implications of provisions that limit the external auditor's liability in a financial statement audit. |
OCC Bulletin
October 29, 2003 |
Proposed Revisions to Risk-Based Capital Regulations Implementing the New Basel Capital Accord The U.S. banking agencies are currently seeking comment on a proposed framework for implementing the New Basel Capital Accord in the United States through an advance notice of proposed rulemaking. |
OCC Bulletin
October 13, 1999 |
Interagency Guidelines for Real Estate Lending Policies New guidelines discuss the credit risks associated with high loan-to-value residential real estate lending and remind national banks that the 1992 Interagency Guidelines for Real Estate Lending Policies apply to these transactions... |
OCC Bulletin
October 4, 2006 |
Nontraditional Mortgage Products: Guidance on Nontraditional Mortgage Product Risks Guidance discusses how institutions can offer nontraditional mortgage products in a safe and sound manner and in a way that clearly discloses the benefits and risks to borrowers. |
OCC Bulletin
December 6, 2006 |
Concentrations in Commercial Real Estate Lending, Sound Risk Management Practices This Interagency Guidance describes sound risk management practices that will enable institutions to pursue CRE lending in a safe and sound manner. |
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
May 26, 2004 |
Suspicious Activity Reporting Interagency Advisory: Federal Court Reaffirms Protections for Financial Institutions Filing Suspicious Activity Reports. |
OCC Bulletin
October 4, 2006 |
Nontraditional Mortgage Products: Proposed illustrations of consumer information and request for comments. |
OCC Bulletin
April 13, 2005 |
Interagency Guidance for Determination of Risk- Based Capital for Unrated Direct Credit Substitutes Extended to Asset-Backed Commercial Paper Programs The provisions included in this policy statement are effective immediately. |
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 18, 2001 |
Examination Procedures Examination procedures to evaluate compliance with the guidelines to safeguard financial institution customer information... |
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. |
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. |
BusinessWeek
June 18, 2009
Avinash D. Persaud |
How to Save the Financial System Regulators Redistributing risk, rather than trying to eliminate it, is the key to strengthening the world's banks. |
OCC Bulletin
January 12, 2001 |
Consumer Protections for Depository Institutions Sales of Insurance Final rules establishing consumer protections for depository institution sales of insurance, implement Section 305 of the Gramm-Leach-Bliley Act and apply to retail sales practices, solicitations, advertising, or offers of any insurance product... |
OCC Bulletin
July 19, 2006 |
Bank Secrecy Act/Anti-Money Laundering The attached advisory aims to help U.S. financial institutions better guard against an increasingly prevalent money laundering threat involving the smuggling of bulk U.S. currency into Mexico. |
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. |
Registered Rep.
February 11, 2011
Diana Britton |
Liquidity Is Expensive and Overrated Liquidity may be more of a return predictor than you think, according to Roger Ibbotson, chairman and chief investment officer of Zebra Capital Management. |
