OneTrak: compliance answers for bankers
Dearborn Financial Pub., Feb 1, 1995 - Business & Economics - 189 pages
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.
6 pages matching SIPC in this book
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The Bank Nondeposit lnvestment Sales Program
The Securities Sales Oversight Program
Employment Policies for the Securities
6 other sections not shown
accumulation unit amount arbitration asset associated person bank bank's Board bond broker broker-dealer business day cash Central Registration Depository complaint compliance manager compliance program corporation customer account customer's dealer disclosure dividend document employee ensure equity federal fidelity bond firm or associated futures contract individual retirement account insider trading Interagency Statement interest investment company investor issue issuer limited margin member firm ment MSRB municipal bonds municipal securities mutual fund shares NASD nondeposit investment products nondeposit investment sales NYSE option penalties personnel policies and procedures portfolio principal prohibits prospectus purchase recommendations records registered rep regulations reports requires responsibility risk Rule sales charges sales program sales reps Section secu securities business securities industry securities sales sell Series Series 53 SIPC specified street name securities suitability supervision tion tomer trust U.S. government unit investment trust variable annuities violation