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Bank Holding Company Compliance Manual

A practical, how-to guide on the day-to-day compliance responsibilities faced by bank holding company and financial holding company compliance officers.
Publisher: Matthew Bender
eBook :epub
2nd Edition
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ISBN: 9781579117269
Publisher: Matthew Bender
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Book Edition: 59

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A practical, how-to guide on the day-to-day compliance responsibilities faced by bank holding company and financial holding company compliance officers.

This unique resource covers topics such as:

•  Forming a bank holding company
•  Expanding a bank holding company through acquisition
•  Determining the extent of permissible activities for BHCs and FHCs
•  Resolving limitations on transactions with affiliates and with management officials
•  Understanding capital requirements

Designed to assist in developing and maintaining operating manuals, particularly with respect to permissible activities and limitations on transactions with affiliates and management officials. Functions as an auditing guide for ongoing compliance with respect to these activities and limitations.

Includes requirements of the financial services modernization legislation, along with other recent legislation and related regulations. Instructions and sample forms for Federal Reserve Reports, applications and notices, practice hints and examples are all included.

First published in 1986.

2 volumes; looseleaf; updated with revisions.

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Table of Contents

Chapter 1 Acquisition of Voting Securities or Assets: Banks and BHCs 

Chapter 2 Acquisition of Voting Securities or Assets: Domestic Nonbank Companies

Chapter 3 Permitted Domestic Nonbank Activities

Chapter 4 Acquisitions of Shares or Assets: Foreign Companies

Chapter 5 Foreign Activities: Foreign Subsidiaries, Foreign Joint Ventures and Foreign Portfolio Companies

Chapter 6 Management Official Interlocks

Chapter 7 Transactions by Bank Subsidiaries with Affiliates and Their Directors and Officers: Section 23 of the Federal Reserve Act and FRB Regulation O

Chapter 8 Internal Capital and Financial Requirements

Appendix A Definitions

Forms

Index/Tables