Finance/Banking

Order by:Group by:

OCEG Contributed

Why Corporate Defence Management is a Strategic Imperative (2006)
FDIC, Proposed Rule - Annual Independent Audits and Reporting Requirements (2007)
Achieving Best Practices for Corporate Performance (2008)
BIS, Enhancing Corporate Governance for Banking Organisations (Basel Committee on Banking Supervision, 2006)
Bank for International Settlements (BIS)
American Bankers Association (ABA)
FDIC Financial Institution Letter - Corporate Codes of Conduct: Guidance On Implementing An Effective Ethics Program (2005)
Federal Deposit Insurance Corporation (FDIC)
OCC, Regulatory Review Amendments, Final Rule (2008)
Strategic GRC Yields Clear Payback (2008)
Treasury/OTS, Directors' Responsibilities Guide (2008)
FFIEC, Business Continuity Planning (2008)
UK, Companies Act 2006 (Amendment) (Accounts and Reports) Regulations 2008, SI, 2008 No. 393
UK, Companies Act of 2006, C.46
Notice 2008-94
GAO, Troubled Asset Relief Program (TARP): Additional Actions Needed to Better Ensure Integrity, Accountability, and Transparency (2009)
FinancialStability.gov
Finance Transformation at a Large Insurance Company
31 CFR Part 30 Interim Final Rule
Notice 2008 TAAP
Notice 2008 PSSFI
OCEG for Technology
FDIC, Corporate Codes of Conduct: Guidance on Implementing an Effective Ethics Program (2005)
Glossary of GRC Terms from Financial Services Provider Perspective
FFIEC, Retail Payment Systems (2004)
Is the Retail Payments Industry Headed for Disruption? (Deloitte, 2007)
Government in Financial Services: Exits and Strategies (2010)
Federal Reserve, OCC, OTS, FDIC Issue Final Guidance on Incentive Compensation (June 21, 2010)
Final Guidance on Sound Incentive Compensation Policies (June 25, 2010)
United Kingdom, HM Treasury - Financial Services: Reform and Regulation
An EU Framework for Cross-Border Crisis Management in the Banking Sector, COM(2009) 561/4
An EU Framework for Cross-border Crisis Management in the Banking Sector, Commission Staff Working Document SEC (2009) 1407
Committee of European Banking Supervisors (CEBS)
FDIC, Implementation of the New Basel Capital Accord in the U.S.
FDIC, U.S. Banking Agencies Express Support for Basel Agreement (September 2010)
Objectives Of The Dodd-Frank Act (November 2010)
Credit Risk Retention, Notice of Proposed Rulemaking (2011)
Incentive-Based Compensation Arrangements, Proposed Rule (April 14, 2011)
United Kingdom, Financial Service Act 2010
FASB Accounting Standards Updates
NCUA, Corporate Credit Unions (2011, Final Rule)
SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading (2011)
Guidance on Due Diligence Requirements in Determining Whether Investment Securities Are Eligible for Investment, Proposed guidance with request for comment (November 2011)

Member Contributed

Comptrollers Handbook, Office of the Comptroller of the Currency (OCC)
Government in Financial Services: Options and Dilemmas (Ernst & Young, 2009)
NCUA, Risk Assessment Reporting in Corporate Credit Unions
Corporate & Securities Law Blog
Risk Management in the Enterprise (2007)
SEC, Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3–1 And 15c3–3 Under the Securities Exchange Act of 1934 ; Purchase of Deferred Variable Annuity Contracts (September 13, 2007)
SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers - Eight Years After Passage of the Gramm-Leach-Bliley Act, Key Provisions Will Now Be Implemented (2007)
SEC, Final Rule, Definitions of Terms and Exemptions Relating to the ‘‘Broker'' Exceptions for Banks (October 3, 2007)
SEC, Fed Finalize Bank-Broker Rules (2007)
FASB, Frequently Asked Questions: Financial Accounting Standards No. 123 (Revised 2004)
Mitratech
BWise
SAS Institute, Inc.