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Board of Governors of the Federal Reserve System
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Board of Governors of the Federal Reserve System

Supervisory Policy and Guidance Topics

Corporate Compliance

Organizations supervised by the Federal Reserve, regardless of size and complexity, should have effective compliance risk management programs that are appropriately tailored to the organizationsí risk profiles. The implementation and oversight of compliance risk management programs can vary considerably depending upon the scope and complexity of the organizationís 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.
Sections on this page:  

Policy Letters

Compliance / Consumer Affairs

SR 13-25
Interagency Statement Regarding the Treatment of Certain Collateralized Debt Obligations Backed by Trust Preferred Securities under the Volcker Rule
SR 13-12
Commodity Futures Trading Commission (CFTC) Swap Clearing Rules
SR 10-11
Interagency Examination Procedures for Reviewing Compliance with the Unlawful Internet Gambling Enforcement Act of 2006
SR 08-8 / CA 08-11
Compliance Risk Management Programs and Oversight at Large Banking Organizations with Complex Compliance Profiles
SR 04-18
Bank Holding Company Rating System
SR 95-51 (SUP)
Rating the Adequacy of Risk Management Processes and Internal Controls at State Member Banks and Bank Holding Companies
 

Additional Resources

 

Manual References

  • 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 the Adequacy of Risk-Management Processes and Internal Controls of Bank Holding Companies"
Last update: December 27, 2013