Insider Activities

References

Auditing Requirements

Regulations 12 CFR 363

OCC Issuances OCC 2003-12; OCC 99-37 “Internal and External Audits,” Comptroller’s Handbook, April 2003 “Large Bank Supervision,” Comptroller’s Handbook, May 2001 “Community Bank Supervision,” Comptroller’s Handbook, July 2003

Bank Fraud

Laws 18 USC 1344

Compensation of Insiders

Regulations 12 CFR 30

OCC Issuances OCC 2004-56

Correspondent Banks

Laws 12 USC 1972(2)

Regulations 12 CFR 31; 12 CFR 215

Credit Life Insurance

Regulations 12 CFR 2

Depository Institution Management Interlocks

Laws 12 USC 3201

Regulations 12 CFR 26

External Audits

Regulations 12 CFR 363

OCC Issuances OCC 2003-12; OCC 99-37 “Internal and External Audits,” Comptroller’s Handbook, April 2003 “Large Bank Supervision,” Comptroller’s Handbook, May 2001 “Community Bank Supervision,” Comptroller’s Handbook, July 2003

False Statements

Laws 18 USC 1014

Indemnification of Directors, Officers, and Employees

Regulations 12 CFR 7.2014

Institution-Affiliated Parties

Laws 12 USC 1813(u), 1818(e)

Interest Paid to Directors, etc.

Laws 12 USC 376

Liability of Directors and Officers of Member Banks

Laws 12 USC 503

Loans of Trust Funds to Officers and Employees

Laws 12 USC 92a(h)

Loans to Executive Officers

Laws 12 USC 375a

Regulations 12 CFR 31; 12 CFR 215

Loans to Executive Officers, Directors, and Principal Shareholders

Laws12 USC 375b

Regulations 12 CFR 31; 12 CFR 215

OCC Issuances Interpretive Letter 1024

Management Information Systems

OCC Issuances FFIEC Information Technology Examination Handbook

Purchases from or Sales to Directors

Laws 12 USC 375

Reports and Public Disclosure by Banks of Extensions of Credit to Insiders

Laws 12 USC 1817(k)

Regulations 12 CFR 215

Receipt of Commissions or Gifts for Procuring Loans

Laws 18 USC 215

Related Interests

Laws 12 USC 375b

Regulations 12 CFR 31, 12 CFR 215

OCC Issuances “Related Organizations,” Comptroller’s Handbook, August 2004

Role of A National Bank Director

OCC Issuances The Director’s Book, March 1997

Safety and Soundness Standards

Regulations 12 CFR 30

Self-Dealing (Fiduciary Accounts)

Regulations 12 CFR 9.12

Suspicious Activity Reporting

Regulation 12 CFR 21.11

Theft, Embezzlement or Misapplication by Bank Officer or Employee

Laws 18 USC 656

Uniform Interagency Rating System

OCC Issuances OCC 97 - 1

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