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Board of Governors of the Federal Reserve System
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Board of Governors of the Federal Reserve System

Supervisory Policy and Guidance Topics

Legal / Reputational Risk

Legal risk arises from the potential that unenforceable contracts, lawsuits, or adverse judgments can disrupt or otherwise negatively affect the operations or condition of a banking organization. Reputational risk is the potential that negative publicity regarding an institution's business practices, whether true or not, will cause a decline in the customer base, costly litigation, or revenue reductions. (SR 95-51)
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Policy Letters

Legal / Reputational Risk

SR 14-8
Consolidated Recovery Planning for Certain Large Domestic Bank Holding Companies
SR 14-6
Addendum to the Interagency Policy Statement on Income Tax Allocation in a Holding Company Structure
SR 14-1
Heightened Supervisory Expectations for Recovery and Resolution Preparedness for Certain Large Bank Holding Companies - Supplemental Guidance on Consolidated Supervision Framework for Large Financial Institutions (SR letter 12-17/CA letter 12-14)
SR 13-24
Managing Foreign Exchange Settlement Risks for Physically Settled Transactions
SR 13-19 / CA 13-21
Guidance on Managing Outsourcing Risk
SR 13-12
Commodity Futures Trading Commission (CFTC) Swap Clearing Rules
SR 11-10
Interagency Counterparty Credit Risk Management Guidance
SR 07-7
Guidance on Filing Notices of Proposed Class Action Settlements
SR 07-5
Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities
SR 02-17
Guidance Regarding Indemnification Agreements and Payments
SR 01-26
SEC Action Against Robert L. Bentley, Bentley Financial Services, and Entrust Group
SR 96-21 (SUP)
FDIC Final Rule Regarding "Golden Parachutes" and Indemnification Payments
SR 93-10 (FIS)
Revised Procedures Regarding Processing of Dividend Requests from State Member Banks and Bank Holding Companies Under Formal Action
SR 92-21
Interagency Agreement Relating to the Coordination of Major Criminal, Civil and Administrative Cases
 

Additional Resources

 

Manual References

Commercial Bank Examination Manual
  • Section 4100.1, "Litigation and Other Legal Matters; Examination-Related Subsequent Events"
Last update: September 25, 2014