Regulation O Policy Template

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

Recent updates to this product:

10/03/11 Update

07/26/10 Update

This policy template (approximately 33 pages in Arial Font Size 9 text) is available to purchase from Bankpolicies.com in Microsoft® Word format for a flat fee of $275.00, and you can receive your order via e-mail attachment or on CD-ROM for large volume orders.

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