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Today is: February 23, 2018  
 

Compliance Companion®
Standard Procedures Manuals (SPM)
 

Legal Processes November 2016

Our Legal Processes Manual discusses the following topics:
  • Part One of this comprehensive Manual discusses federal and California laws which govern levies, attachments, executions and other legal processes involving levies on customers' accounts and other property. Part One provides detailed guidance regarding the handling of 19 different types of levies and orders to withhold, including:
    • Writs of Attachment and Execution
    • IRS Notice of Levy
    • IRS Notice of Federal Tax Lien
    • CA Employment Development Department Notice of Levy
    • CA State Board of Equalization Notice to Withhold and Notice of Levy
    • CA Franchise Tax Board Order to Withhold

Part One also includes a discussion of the federal regulations and state laws governing exemptions for federal and California benefit payments.

  • Part Two presents a detailed discussion of the privacy laws governing the disclosure of customer information pursuant to various types of legal process, including federal and state civil subpoenas, IRS summons, and federal and state government agency subpoenas, search warrants and other requests for information. Part Two provides an in-depth discussion of the California and Federal Right to Financial Privacy Acts. Note that this Manual does not discuss the Gramm-Leach-Bliley Act and the Fair Credit Reporting Act and their related privacy regulations (which are covered in BCG Standard Procedures Manual #20, Financial Privacy).

Note that this Manual does not discuss the Gramm-Leach-Bliley Act and the Fair Credit Reporting Act and their related privacy regulations (which are covered in BCG Standard Procedures Manual #20, Financial Privacy).

The main text of this Manual is 384 pages, plus 143 pages of appendices, including examples of different types of legal process discussed in the Manual.

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