Conflicts of Interest

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Conflicts of Interest (Comptroller's Handbook, January 2015)
Provides examiner guidance for evaluating risk management practices in place to control conflicts of interest and self-dealing

References

• OCC Bulletin 2023-17, Third-Party Relationships: Interagency Guidance on Risk Management (June 06, 2023)
• OCC Bulletin 2015-3, Conflicts of Interest: Revised Comptroller's Handbook Booklet and Rescissions (January 14, 2015)
• OCC Bulletin 2010-37, Fiduciary Activities of National Banks: Self-Deposit of Fiduciary Funds (September 20, 2010)
• OCC Bulletin 2010-24, Incentive Compensation: Interagency Guidance on Sound Incentive Compensation Policies (June 30, 2010)
• OCC Bulletin 2008-5, Conflicts of Interest: Risk Management Guidance—Divestiture of Certain Asset Management Businesses (March 6, 2008)
• OCC Bulletin 2007-7, Soft Dollar Guidance: Use of Commission Payments by Fiduciaries (February 5, 2007)
• OCC Bulletin 2006-24, Interagency Agreement on ERISA Referrals: Information Sharing Between the FFIEC Agencies and the DOL (June 1, 2006)
• OCC Bulletin 1998-32, Civil Money Penalties: Interagency Statement (July 24, 1998)