OneTrak: compliance answers for bankers

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Dearborn Financial Pub., Feb 1, 1995 - Business & Economics - 189 pages
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OneTrak Compliance Answers for Bankers addresses the role of bank nondeposit compliance management and the development of a formal compliance policy manual, customer complaint resolution process, nondeposit investment sales program, oversight program and effectiveness evaluation program. OneTrak Compliance Answers for Bankers uses a checklist approach to recommend policies and procedures for implementing an effective nondeposit compliance program within a bank. The checklist also provides guidance for bank compliance officers to critique fledgling nondeposit compliance program in their bank. Certification and training of bank employees can be advanced through the use of other books in this series from Dearborn. Stock Answers for Bankers and Mutual Fund Basics and Beyond are excellent tools that can help all bank personnel get up-to-speed on current issues concerning securities in the bank environment. OneTrak Compliance Answers for Bankers is important reading for top management and line supervisors in banks with nondeposit investment sales programs.

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Contents

The Bank Nondeposit lnvestment Sales Program
17
The Securities Sales Oversight Program
39
Employment Policies for the Securities
59
Copyright

6 other sections not shown

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