occ bulletin 2015-33

PDF	Flood Insurance: Final Rule OCC Bulletin 2015-33 July 21 2015 Flood Insurance: Final Rule Page 1 of 3 bulletins/2015/bulletin-2015-33 html RESCINDED

PDF	4810-33-P Office of the Comptroller of the Currency 12 CFR Part 7 14 sept 2016 · 33 For purposes of this proposal the OCC considers a transitory title 35 See also OCC Bulletin 2015-3 (Aug 4 2015) (noting that a

PDF	2016-31572pdf 29 déc 2016 · 33 See e g London Bullion Market Association The Good Delivery Rules 52 See also OCC Bulletin 2015-35 (Aug 4 2015) (noting that a

PDF	Corporate and Risk Governance Comptrollers Handbook OCCgov 32 For more information refer to OCC Bulletin 2015-30 33 For more information refer to 12 CFR 359 “Golden Parachute and Indemnification Payments ” 34

PDF	Cease and Desist 2015-033 16 avr 2015 · Bulletin 2012-33 Community Bank Stress Testing (October 8 2012) Losses” dated December 13 2006 (OCC Bulletin 2006-47) (“Interagency

Summary

This bulletin provides guidance and establishes standards that the Office of the Comptroller of the Currency (OCC) uses when it requires national banks, federal savings associations, or federal branches or agencies (collectively, banks) to employ independent consultants as part of an enforcement action to address significant violations of law, frau

Highlights

The bulletin describes the OCC’s 1. assessment of the need to require a bank to hire an independent consultant in an enforcement action. 2. expectations for a bank’s due diligence process when retaining an independent consultant. A bank’s due diligence should establish that the consultant has sufficient independence, capacity, resources, and expert

Background and Scope

The OCC has used its enforcement authority to require banks to retain independent consultants in a significant number of cases and for a variety of purposes. For example, as part of enforcement actions, the OCC has required banks to retain independent consultants to assess the banks’ compliance with legal requirements in cases involving material vi

OCC Supervisory Expectations and Review of Independent Consultants

OCC Assessment of the Need to Require Independent Consultants in an Enforcement Action The OCC may require a bank to engage an independent consultant to ensure that independent judgment and the requisite expertise are employed when a bank determines the scope and cause of the underlying issues in an enforcement action or when remedial actions are n

Conclusion

An independent consultant can play a valuable role in assisting a bank’s management and board of directors in correcting significant violations of law, fraud, or harm to consumers. It is the OCC’s policy to carefully consider whether to require an independent consultant in these cases and, consistent with the standards and processes set forth in th

Further Information

Please direct questions about this guidance to your supervisory office. John C. Lyons Jr. Senior Deputy Comptroller and Chief National Bank Examiner occ.gov

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