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Bank Internal Control Manual

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ISBN: 9780769877600
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ISBN: 9780769879024
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Product details

This manual includes selected materials to assist your organization in addressing various aspects of corporate governance, specifically with respect to the implementation and monitoring of internal controls to address controls environment elements. Outsourcing and overriding internal controls are areas of concern that are addressed.

From credit risk to integrated financial software systems, the manual contains sample internal controls tools for every key area of the financial institution: checklists, examples of documentation, and clear guidelines you can use for internal control checklists for your own operation. Topics such as credit scoring processes and automated clearing house activities are also areas of risk focus. Whether due to inadvertent mistakes or collusion to circumvent controls, regulators continue to request that financial institutions evaluate controls and procedures in the operational areas.

Subscribers will receive a downloadable file containing editable forms

Authors / Contributors

Table of Contents

Volume 1

Chapter 1 Getting Started

Chapter 2 Internal Controls and Their Basic Objectives

Chapter 3 Designing Internal Control Systems

Chapter 4 Managing the Internal Control Process: Developing and Maintaining a Formal Internal Control Environment

Chapter 5 Monitoring Internal Controls

Chapter 6 [Reserved]

Chapter 7 Examination of Internal Controls by Independent Third Parties

Chapter 8 Planning for the Future

Chapter 9 Outsourcing and Internal Control Considerations

Appendix Regulatory Issuances


Volume 2: Internal Control Checklists

Executive

Lending

Treasury/Finance

Trust

International Banking

Operations

Data Processing