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November 2013

Insider Activities

This publication is part of:

Collection: Comptroller's Handbook

Series: Safety and Soundness

Category: Management


This booklet provides guidance on how banks may legally and prudently engage in transactions with insiders and how to implement risk management processes that provide for the appropriate control and monitoring of insider activities.


This booklet applies to the OCC's supervision of national banks and federal savings associations. References to national banks in this booklet also generally apply to federal branches and agencies of foreign banking organizations. Refer to 12 USC 3102(b) and the "Federal Branches and Agencies Supervision" booklet of the Comptroller's Handbook for more information.