Regulation O and Insider Activity Policy

Table of Contents

Purpose and Contents - Topic 1
Policy Statement – Topic 2
Definitions – Topic 3
Regulation O and Related Laws and Regulations – Topic 4
Board of Directors and Senior Management Responsibilities – Topic 5
Risk Management – Topic 6
Duty of Care and Duty of Loyalty – Topic 7
Compensation and Benefits Paid to Insiders – Topic 8
Extension of Credit – Topic 9
General Prohibitions – Topic 10
Additional Restrictions on Loans to Executive Officers – Topic 11
Unauthorized Extension of Credit – Topic 12
Public Disclosure – Topic 13
Reporting Requirement for Credit Secured by Bank Stock – Topic 14
Civil Penalties – Topic 15
Audit Policy – Topic 16
Staff Training – Topic 17
Retention of Documentation – Topic 18

Includes the following form template:
Insider Policy Acknowledgement of Receipt (1 page)

Recent updates to this product:
05/01/20 Update
12/02/19 Update
02/04/19 Update

This policy template (approximately 39 pages) is in Microsoft® Word format.

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