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Bank Policies, Procedures and Internal Audit CD

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CDROM + Folio exe file :CDROM + Folio exe file
ISBN: 9780769886275
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Regulatory compliance costs the banking industry hundreds of millions of dollars every year. Risk management guidelines mandate that you have policies and procedures for everything from credit risk to liquidity risk. Even interest rate and legal risks must have their own policies and procedures. And once you’ve got them, you’ve got to audit your operations to make sure they stay in compliance with the ever-changing rules.

•  Details on how to develop new policies and procedures, or modify existing ones to meet new regulatory demands.
•  Actual sample policies for each functional area of the bank with corresponding procedures that put them into effect.
•  Step-by-step guidance on how to do an effective internal audit while keeping work flow disruptions to a minimum.
•  Timely periodic updates help you keep up-to-date as new requirements make it necessary to change your policies, procedures, and internal audits.

Subscribers will receive access to a downloadable file containing editable forms.

Authors / Contributors

Table of Contents

Summary Table of Contents

Bank Policies, Procedures, and Internal Audit Service on CD

Bank Policies: A Working Guide to Regulatory Compliance


Chapter 1 The Policy Development Process and Board
Participation

Chapter 2 Executive Group Sample Policies

Chapter 3 Lending Sample Policies

Chapter 4 Treasury/Finance Sample Policies

Chapter 5 Operations Sample Policies

Chapter 6 Data Processing Sample Policies (Available Only on CD)

Chapter 7 Policy Checklists (Available Only on CD)

Appendixes


Bank Procedures: A Working Guide to Regulatory Compliance


Chapter 1 The Procedure Development Process

Chapter 2 Executive Group Procedures

Chapter 3 Lending Procedures

Chapter 4 Treasury/Finance Procedures

Chapter 5 Operations Procedures

Chapter 6 Data Processing Procedures (Available Only on CD)

Chapter 7 Procedures Checklists (Available Only on CD)


Appendixes

Bank Internal Audit: A Working Guide to Regulatory Compliance


Part I: Overview of the Internal Audit Function

Chapter 1 An Overview of the Internal Audit Function

Chapter 2 Organizing the Internal Audit Function

Chapter 3 Developing Audit Scope

Chapter 4 Preparing Internal Audit Procedure Work Papers, Performing Audit Sampling, and Using Internal Audit Policy Checklists

Part II: Executive Internal Audit Control Procedures

Chapter 5 Executive Internal Audit Control Procedures

Chapter 6 Lending Internal Audit Control Procedures

Chapter 7 Finance Internal Audit Control Procedures

Chapter 8 Operations Internal Audit Procedures Bank Security Procedures

Chapter 9 Data Processing Internal Audit Control Procedures (Available Only on CD)

Chapter 10 Executive Internal Audit Policy Checklists (Available Only on CD)

Chapter 11 Lending Internal Audit Policy Checklists (Available Only on CD)

Chapter 12 Finance Internal Audit Policy Checklists (Available Only on CD)

Chapter 13 Operations Internal Audit Policy Checklists (Available Only on CD)

Chapter 14 Data Processing Internal Audit Policy Checklists (Available Only on CD)

Part III: Appendixes (Available Only on CD)