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Regulation NN Policy

$175.00

The purpose of this Regulation NN Policy Template is to address how a financial institution adheres to Regulation NN – “Retail Foreign Exchange” to ensure that a financial institution maintains an effective program for the management of retail foreign exchange (forex) transactions in accordance with all applicable laws, rules, and regulations.

Description

Regulation NN Policy

The purpose of this Regulation NN Policy Template is to address how a financial institution adheres to Regulation NN – “Retail Foreign Exchange” to ensure that a financial institution maintains an effective program for the management of retail foreign exchange (forex) transactions in accordance with all applicable laws, rules, and regulations.

Table of Contents

  • Purpose and Contents – Topic 1
  • Policy Statement – Topic 2
  • Definitions – Topic 3
  • Structure of Accountability – Topic 4
  • Prohibited Transactions – Topic 5
  • Regulatory Approval and Filing Procedures – Topic 6
  • Application and Close-Out – Topic 7
  • Disclosure – Topic 8
  • Capital and Margin Requirements – Topic 9
  • Reporting to Customers – Topic 10
  • Unlawful Representations – Topic 11
  • Authorization to Trade – Topic 12
  • Trading and Operational Standards – Topic 13
  • Notice of Transfers – Topic 14
  • Customer Dispute Resolution – Topic 15
  • Reservation of Authority – Topic 16
  • Audit Policy – Topic 17
  • Staff Training – Topic 18
  • Retention of Documentation – Topic 19

This Regulation NN Policy Template (approximately 28 pages) is available to purchase from BankPolicies.com in Microsoft® Word format for $175.00.

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When updates are made you will receive detailed information regarding why the product was updated and what has changed within the product in our Product Update Notification e-mail correspondence. This enables you to make an informed decision on whether to make any changes to the policy or procedure you implemented for your financial institution from the revised template.

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