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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)
Sections on this page:
Policy Letters
Legal / Reputational Risk
- 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
- Board Legal Interpretations
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FDIC: Laws and Regulations
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OCC Legal and Regulatory Guidance
- Regulations
- The Federal Reserve Act
Manual References
Commercial Bank Examination Manual- Section 4100.1, "Litigation and Other Legal Matters; Examination-Related Subsequent Events"
Last update:
January 23, 2013