Bank Safety and Soundness Regulatory Service
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Safety and soundness used to mean things you did to avoid bank failure. Now, with agency risk management guidelines mandating you to be scored on how well you control risk, special examination teams have been trained to focus on nothing but an institution's compliance with safety and soundness regulations. They look at how well you control interest rate, credit, liquidity, and legal risks, to name just a few areas, and measuring your safety and soundness with a numerical score.
Instead of trying to create your own interpretations and approaches to each mandated standard and regulatory release, you can go by the book — Bank Safety and Soundness Regulatory Compliance. You have information to keep your staff up-to-speed, and you can be sure that everything the examiners look for is covered. Best of all, when the written regulations are vague or unclear about what constitutes compliance, our experts draw on proven approaches to clarify and provide insight.
• Capital requirements and interest rate risk
• Restrictions on deposits, lending and investments
• Restrictions on real estate transactions
• Dealing with insiders and related parties
• Contracts adverse to safety and soundness
• Interbank liabilities
• Brokered deposits and risk-based insurance premiums
• Lending limits
Subscribers will receive a downloadable file containing editable forms
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Table of contents
Volume 1 Part I — Capital Requirements
Chapter 1 Applying the Risk-Based Capital Requirements
Chapter 2 Regulatory Enforcement Actions
Part II — Deposits
Chapter 3 Brokered Deposits, Interest Rates
Chapter 4 Repurchase Agreements/Reverse Repurchase Agreements
Part III — Lending and Investments
Chapter 5 National Bank and Federal Savings Association Lending and Lease Limits
Chapter 6 National Bank Investment Limitations
Chapter 7 State-Chartered Institution Investment Limitations
Chapter 8 Investment Securities: Policies, Practices, and Products
Chapter 9 Risk Management of Bank-Owned Life Insurance (BOLI)
Chapter 10 Limitations on Interbank Liabilities
Chapter 11 Loan Portfolio Management
Chapter 12 Loan Documentation
Chapter 13 Loan Participations
Chapter 14 Temporary Liquidity Guarantee Program
Part IV — Real Estate Transactions
Chapter 15 Real Estate Appraisal Regulations and Appraisal/Evaluation Guidelines
Chapter 16 Federal Real Estate Lending Standards
Chapter 17 Guidance on Concentrations in Commercial Real Estate Lending
Chapter 18 The SAFE Act
Chapter 19 Nontraditional Mortgage Products and Subprime Lending
Chapter 20 Foreclosure Management
Part V — Insiders, Affiliates, and Third Parties
Chapter 21 Insider Lending Restrictions: Regulation O
Chapter 22 Regulation W: Affiliate Transaction Restrictions
Chapter 23 Prior Notification of Change in Directors and Senior Executive Officers
Chapter 24 Third-Party Banking Relationships
Chapter 25 Executive Compensation, Golden Parachutes, and Indemnification Payments
Part VI — Management and Operations
Chapter 26 External and Internal Audit Requirements
Chapter 27 Internal Controls
Chapter 28 Regulatory Assessment of Risk Management
Chapter 29 National Bank Activities
Chapter 30 State-Chartered Bank Activities Limitations
Chapter 31 Interagency Guidelines Establishing Standards for Safety and Soundness
Chapter 32 Merchant Credit Card Processing
Chapter 33 Regulatory Notification of Change in Control
Chapter 34 Information System Security