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OCC Bulletin November 1, 2001	Third-Party Relationships This bulletin provides guidance to national banks on managing the risks that may arise from their business relationships with third parties...
OCC Bulletin May 15, 2002	Bank Use of Foreign-Based Third-Party Service Providers This bulletin provides guidance to national banks on managing the risks that may arise from their outsourcing relationships with foreign-based third-party service providers...
OCC Bulletin September 1, 2006	Automated Clearing House Activities Guidance for National banks -- which may be exposed to a variety of risks when originating, receiving or processing ACH transactions, or outsourcing these activities to a third party.
OCC Bulletin December 7, 2004	Bank-Owned Life Insurance An interagency statement reminds financial institutions that the purchase and risk management of bank-owned life insurance must be consistent with safe and sound banking practices.
U.S. Banker August 2001 Jack M. Pullara	Look Before You Leap Account aggregation (such as Yodlee) can be a great product, but there are many pitfalls. So beware.
OCC Bulletin February 28, 2001	Bank-Provided Account Aggregation Services This bulletin discusses the risks of bank-provided account aggregation services, and suggests control mechanisms banks should consider when they offer aggregation services.
Insurance & Technology November 5, 2008 Jody Westby	Building an Enterprise Security Program Key to Managing Risks Insurance companies are particularly vulnerable to cyber risks because they house so much sensitive data.
OCC Bulletin February 15, 2001	Guidelines Establishing Standards For Safeguarding Customer Information The purpose of this bulletin is to alert you to the joint-agency issuance of the attached final "Guidelines Establishing Standards for Safeguarding Customer Information" and to highlight provisions of these guidelines...
OCC Bulletin December 20, 2004	Automated Clearing House Description: NACHA Rule Changes The purpose of this bulletin is to advise national banks and examiners of three amendments to National Automated Clearing House Association Operating Rules that became effective in 2004. The most important changes introduced by the amendments are described here.
OCC Bulletin July 1, 2004	Embedded Options and Long-Term Interest Rate Risk This bulletin alerts banks to the importance of measuring the cash flow and valuation risks for assets and liabilities with embedded options.
OCC Bulletin October 2, 2003	FFIEC Information Technology Examination Handbook The Federal Financial Institutions Examination Council has issued updated guidance in three booklets on electronic banking, information technology audit, and the FedLine electronic funds transfer application.
Bank Technology News January 2006	Better Info Security Driven By Regulatory Compliance If information security is to become a strategic priority, then banks can start by reviewing existing practices -- their own and that of those companies with which they do business.
OCC Bulletin October 27, 2004	FFIEC Guidance The Federal Financial Institutions Examination Council has released the attached guidance, "Risk Management for the Use of Free and Open Source Software."
OCC Bulletin May 30, 2000	Risk Modeling This bulletin provides guidance to help financial institutions mitigate potential risks arising from reliance on computer-based financial models that are improperly validated or tested...
OCC Bulletin March 11, 2002	Country Risk A recently issued statement describes the elements of an effective country risk management process. These principles will guide examiners when they evaluate the management of country risk in internationally active banks...
OCC Bulletin December 14, 2005	Small Entity Compliance Guide This compliance guide summarizes the obligations of financial institutions to protect customer information and illustrates how certain provisions of the Security Guidelines apply to specific situations.
OCC Bulletin April 4, 2001	Leveraged Financing Guidance for bankers and examiners that more fully describes supervisory expectations regarding sound practices for leveraged financing activities.
IndustryWeek October 21, 2009	Dealing With Contract Risks Negotiating a good deal is an essential aspect of procurement, but it's easy to oversimplify negotiations as only a matter of getting the best price from a supplier.
CFO April 1, 2011 Russ Banham	Disaster Averted? A torrent of bad news for business may be good news for enterprise risk management, as businesses look to prepare for "black swans."
OCC Bulletin October 20, 2003	Bank Secrecy Act Examination Procedures The examination procedures allow examiners to tailor the examination scope according to the reliability of the bank's compliance management system and the level of risk assumed by the institution.
OCC Bulletin July 15, 2004	FFIEC Information Technology Examination Handbook Providing the latest guidance on the outsourcing of technology services and the management of information technology, these booklets from the Federal Financial Institutions Examination Council continue a series of updates for the Council's 1996 Information Systems Examination. Handbook.
U.S. Banker March 2008 Christopher Myers et al.	SOX Relief for Smaller Banks The SEC and the Public Company Accounting Oversight Board apparently agree that SOX may be too burdensome on small companies, and some relief may be on the horizon.
OCC Bulletin January 5, 2007	Complex Structured Finance Transactions: Notice of Final Interagency Statement Modifications to the initial statement address issues and concerns raised by commenters.
National Defense February 2014 Jay B. Stephens	Companies Need Sound Governance In publicly-traded aerospace and defense companies, strong internal controls in an organization -- especially in business units far from the mother ship -- are essential to transparency and process fidelity.
U.S. Banker November 2007 Patrick Conte	Embrace This Acronym: IT GRC. It Could Save Banks a Bundle. Used to describe the interdependent disciplines of governance, risk and compliance, GRC refers to the people, processes and technology banks invest in to comply with regulations and manage risk as part of effective corporate governance.
Bank Director 2nd Quarter 2010 Jack Milligan	Knee Deep in Regulation As part of the fallout from the latest financial crisis, bankers are wading through new layers of regulation while scanning for clearer skies ahead.
OCC Bulletin May 15, 2000	Infrastructure Threats -- Intrusion Risks This bulletin provides guidance to financial institutions on how to prevent, detect, and respond to intrusions into bank computer systems...
CIO December 1, 2000 Erik K. Clemons	The Build/Buy Battle Balancing the risks and rewards of information service outsourcing...
Bank Technology News July 2010 Todd Cooper	Risk Culture's Driven by IT Investing in sound risk management practices and a technology offering to support them leads financial service organizations to a healthier bottom line, a solid reputation and a strong competitive position in the marketplace.
OCC Bulletin May 21, 2003	FFIEC Information Technology Examination Handbook The Federal Financial Institutions Examination Council has issued updated guidance in two booklets, one on business continuity planning (BCP), and the other on FFIEC supervision of technology service providers.
OCC Bulletin	Weblinking The guidance offers risk management tools that would reduce risk to banks from linking arrangements and with third parties, especially reputation and compliance risks.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
National Defense November 2010 Marinelli & Latour	Vetting Partners: A Key Compliance Element Vetting vendors and other partners is a critical element of a comprehensive export compliance program.
OCC Bulletin May 22, 2002	Unsafe and Unsound Investment Portfolio Practices Description: Supplemental Guidance This bulletin alerts banks to the potential risk to future earnings and capital from poor investment decisions made at the current low level of interest rates...
OCC Bulletin May 9, 2006	Revised Interagency Statement Open for Comment The attached interagency statement describes revised sound practices for managing complex structured finance activities that may pose heightened legal or reputational risks to financial institutions.
OCC Bulletin July 18, 2001	Examination Procedures Examination procedures to evaluate compliance with the guidelines to safeguard financial institution customer information...
Bank Systems & Technology May 7, 2007 Peggy Bresnick Kendler	Bank Tech Experts Discuss Vendor Relationships Here, these industry experts talk about outsourcing and offshoring along with other areas of bank tech concerns.
Bank Director 2nd Quarter 2010 Glascock & Gaulke	Are We Covered? 12 Critical Areas Directors Should Question Asking a few key questions ahead of time about IT risk may save enormous headaches later on.
OCC Bulletin May 19, 2004	Complex Structured Finance Transaction Notice of joint statement with request for public comment on the attached interagency statement concerning the complex structured finance activities of financial institutions.
National Defense July 2009 Latour & Maki	Companies Must Resist Temptations to Cut Corners The defense industry must counter any temptation to cut corners that could result in violations of the Foreign Corrupt Practices Act (FCPA).
OCC Bulletin February 5, 2003	FFIEC Information Security Booklet The Federal Financial Institutions Examination Council (FFIEC) has released updated information security guidance in the form of a new Information Security Booklet.
OCC Bulletin	Updated Information Security Booklet The updated booklet addresses changes in technology, risk assessments, mitigation strategies, and regulatory guidance.
OCC Bulletin December 23, 2005	Bank Security Act/Anti-Money Laundering Process for taking administrative enforcement actions against banks based on BSA violations.
Financial Advisor October 2004 Chaplin & Giachetti	Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply?
Wall Street & Technology August 22, 2005 Atul Seth	Mutual Fund Musts Seven key compliance imperatives that will have a major impact on the mutual fund industry over the next year and suggestions on how firms can meet the challenges posed by the requirements successfully.
CRM July 6, 2012 Otavio Freire	Enabling Social Collaboration with Social Compliance Monitoring, tracking, and reporting for risk management.
OCC Bulletin January 8, 2007	Guidance to National Banks Concerning Schemes Involving Fraudulent Cashier's Checks This bulletin discusses factual and legal issues related to fraudulent cashier's checks, including associated risks for depositary banks, and provides recommendations to national banks for managing these risks and protecting their customers.
OCC Bulletin October 12, 2005	Authentication in an Internet Banking Environment This updated interagency guidance specifically addresses the need for risk-based assessment, customer awareness and security measures to authenticate customers using a financial institution's Internet-based services.
Pharmaceutical Executive February 1, 2011 Sumit Nijhawan	Worth a Pound of Cure In an era of information overload, continuous monitoring, solutions can prevent your pharma business from losing money and save a few lives along the way
Bank Systems & Technology February 22, 2007 Nancy Feig	A Happy Marriage: Finding the Right Technology Mate for Compliance Programs Banks are turning to GRC software platforms to maximize compliance technology's effectiveness and gain greater return on investment.