Regulation O and Insider Activity Policy - $175.00

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
Application to Savings Associations - Topic 16
Audit Policy - Topic 17
Staff Training - Topic 18
Retention of Documentation - Topic 19

Includes the following form template:

Insider Policy Acknowledgement of Receipt (1 page)

The purpose of this policy is to address how a financial institution adheres to Regulation O - “Loans to Executive Officers, Directors, and Principal Shareholders of Member Banks."  This policy template (approximately 38 pages) is available to purchase from in Microsoft® Word format for $175.00.

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