Corporate Compliance

Organizations supervised by the Federal Reserve, regardless of size and complexity, should have effective compliance risk management programs that are appropriately tailored to the organizations’ risk profiles. The implementation and oversight of compliance risk management programs can vary considerably depending upon the scope and complexity of the organization’s activities, the geographic reach of the organization, and other inherent risk factors. Larger, more complex banking organizations tend to conduct a wide range of business activities that are subject to rigorous compliance requirements that frequently transcend business lines and legal entities and, accordingly, present risk management and corporate governance challenges.

Policy Letters

Compliance / Consumer Affairs

Supervisory Guidance for Assessing Risk Management at Supervised Institutions with Total Consolidated Assets Less than $50 Billion

Commodity Futures Trading Commission (CFTC) Swap Clearing Rules

Interagency Examination Procedures for Reviewing Compliance with the Unlawful Internet Gambling Enforcement Act of 2006

Compliance Risk Management Programs and Oversight at Large Banking Organizations with Complex Compliance Profiles

Bank Holding Company Rating System

Rating the Adequacy of Risk Management Processes and Internal Controls at State Member Banks and Bank Holding Companies

Additional Resources

Manual References

  • Bank Holding Company Supervision Manual
    • Section 2124.07, "Compliance Risk-Management Programs and Oversight at Large Banking Organizations with Complex Compliance Profiles"
    • Section 4070.1, "Rating the Adequacy of Risk-Management Processes and Internal Controls of Bank Holding Companies"
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Last Update: April 21, 2017