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Today is: November 21, 2018  

Compliance Companion®
Standard Procedures Manuals (SPM)

Managing Financial Institutions December 2017

BCG Standard Procedures Manual #17, Managing Financial Institutions, was just updated in conjunction with the 2017 BCG Management and Directors Seminar. The Manual covers a broad range of topics about which all directors and senior management of insured financial institutions should be knowledgeable in order to protect and advance the important interests of their institutions. The text of this Manual is 913 pages, plus 68 pages of appendices.

There are four main parts to this Manual. The main provisions of each part are listed below.

  • Part One – Corporate Activities
      • Standards of conduct for directors, including directors’ fiduciaries duties
      • Corporate governance and securities issues, including Sarbanes-Oxley Act, banking regulations on corporate governance, annual meetings of shareholders, sale of bank securities and disclosure of year-end financial statements
      • Investments and other activities, such as investment powers, regulatory capital requirements, political activities and other permissible bank activities
  • Part Two – Insider Transactions
      • Restrictions on transactions with affiliates
      • Compensation and indemnification of directors and officers, including a discussion of the April 2016 proposed rule concerning incentive-based compensation arrangements
      • Conflicts of interest
      • Insider trading
      • Loans to executive officers, directors and principal shareholders
  • Part Three – Regulatory Compliance
      • Purposes and structure of a compliance management program
      • Management commitment and involvement in the compliance management program
      • Board of directors regulatory checklist
      • Consumer provisions of the Dodd-Frank Reform Act
  • Part Four – Regulatory Enforcement Powers
      • Examination process for the different types of depository institutions
      • Prompt corrective action rules
      • Federal regulatory agencies’ regulatory enforcement powers


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SPM 17
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