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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 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 April 25, 2005 |
Bank Secrecy Act/Anti-Money Laundering Joint statement on providing banking services to money services businesses.  |
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 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 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 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 June 20, 2000 |
Privacy of Consumer Financial Information Privacy provisions of the Gramm-Leach-Bliley Act generally restrict the ability of financial institutions to transfer nonpublic personal information about consumers to nonaffiliated third parties...  |
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 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 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 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 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 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 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 23, 2001 |
Risk-Based Capital On January 16, 2001, the Basel Committee on Banking Supervision published a set of three documents that initiates a second round of consultation with the industry to develop proposals to revise the 1988 Capital Accord...  |
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 August 12, 2002 |
International Banking Activities Capital Equivalency Deposits A new rule amends the OCC's regulation regarding the capital equivalency deposits (CED) that foreign banks with federal branches or agencies must establish and maintain.  |
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 April 28, 2005 |
Bank Secrecy Act/Anti-Money Laundering Frequently Asked Questions: Final Customer Identification Program Rule  |
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 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 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 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 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 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 December 26, 2000 |
Statement on Appraisal Standards for Federally Related Transactions An institution's internal controls must promote compliance with the OCC's appraisal regulation, the guidelines, and industry appraisal standards and ensure that the institution engages competent and ethical appraisers...  |
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 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 June 5, 2003 |
International Activities of National Banks; U.S. Activities of Federal Branches and Agencies of Foreign Banks Notice of proposed rule making rules, policies, and procedures for corporate activities; international banking activities  |
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 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 December 6, 2005 |
One-Year Post-Employment Restrictions for Senior Examiners This final rule implements new post-employment restrictions for Comptroller of the Currency senior examiners of national banks.  |
| 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 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 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 January 8, 2004 |
Bank Secrecy Act/Anti-Money Laundering Frequently Asked Questions: Final Customer Identification  |
OCC Bulletin September 3, 2003 |
Removal, Suspension, and Debarment of Accountants from Performing Annual Audit Services The attached final rule, published in the Federal Register on August 13, 2003, concerns the removal, suspension, and debarment of accountants from performing annual audit and attestation services.  |
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 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 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 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 August 30, 2005 |
Examiner Ethics The attached proposed rule, issued jointly with the other federal banking agencies, concerns new post-employment restrictions for senior examiners of national banks.  |
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.  |
OCC Bulletin October 14, 1999 |
Management Official Interlocks A new final rule raises the asset threshold for prohibiting interlocks between two financial institutions regardless of their location...  |
OCC Bulletin November 3, 2000 |
Risk-Based Capital--Simplified Framework for Non-Complex Institutions Currently, banks and thrifts are required to maintain minimum levels of risk-based capital under a framework established by the 1988 Capital Accord. The Agencies believe that the size, complexity, and risk profile of many banking institutions may warrant the application of a simplified capital framework.  |
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 December 12, 2001 |
Privacy of Consumer Financial Information The OCC has prepared a "Small Bank Compliance Guide" to help community banks comply with the rule implementing the privacy provisions of the Gramm-Leach-Bliley Act...  |
OCC Bulletin October 4, 2006 |
Nontraditional Mortgage Products: Proposed illustrations of consumer information and request for comments.  |
OCC Bulletin March 17, 2003 |
Interagency Policy Statement on Internal Audit and Internal Audit Outsourcing Revised guidance on internal audit and its outsourcing  |