OneTrak : compliance answers for bankers
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
Print Book, English, ©1995
Dearborn Financial Pub., Chicago, Ill., ©1995
x, 189 pages : illustrations ; 23 cm
9780793110551, 0793110556
31867378
1. The Role of Bank Compliance Management
2. The Bank Nondeposit Investment Sales Program
3. The Securities Sales Oversight Program
4. Employment Policies for the Securities Sales Program
5. Customer Complaint Policies and Procedures
6. Product Selection
7. Financial and Operational Recordkeeping
Includes index