Supervisory Policy and Guidance Topics
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 LettersCompliance / Consumer Affairs
Large Financial Institution (LFI) Rating System
Supervisory Rating System for Holding Companies with Total Consolidated Assets Less Than $100 billion
Supervisory Guidance for Assessing Risk Management at Supervised Institutions with Total Consolidated Assets Less than $100 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
Rating the Adequacy of Risk Management Processes and Internal Controls at State Member Banks and Bank Holding Companies
- Compliance and the Compliance Function in Banks (April 2005, Basel Committee on Banking Supervision)
- Final Interagency Guidance on Incentive Compensation
- Incentive Compensation Practices: A Report on the Horizontal Review of Practices at Large Banking Organizations
- Regulation GG: Prohibition on Funding of Unlawful Internet Gambling
- Corporate governance principles for banks (July 2015, Basel Committee on Banking Supervision)
- 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 Risk-Management Processes and Internal Controls of BHCs Having $50 Billion or More in Total Assets"