OneTrak: Compliance Answers for BankersOneTrak 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. |
Contents
The Bank Nondeposit Investment Sales Program | 17 |
The Securities Sales Oversight Program | 39 |
Employment Policies for the Securities | 59 |
Copyright | |
8 other sections not shown
Common terms and phrases
accumulation unit amount arbitration associated person bank bank's Board bond broker broker-dealer business day capital cash Central Registration Depository certificate commission complaint compliance manager compliance program contract corporation customer account customer's dealer decision disclosure dividends document employee ensure equity federal firm or associated firm's fund's futures contract individual retirement account insider trading Interagency Statement interest investment company investor issue issuer limited member firm ment MSRB municipal bonds municipal securities mutual fund mutual fund shares NASD NASD's net asset value nondeposit investment products NYSE option penalties policies and procedures portfolio principal prohibits prospectus public offering purchase records registered rep regulations reports requires responsibility retirement plan risk rities sales charges sales reps Section secu securities business securities industry securities sales sell Series Series 53 SIPC street name securities supervision tion tomer U.S. government unit investment trust variable annuities violation