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Bank Safety and Soundness Regulatory Service

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ISBN: 9780769877662
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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.

Topics include:
•  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

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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