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Avoiding Hot Water: Complying with Regulation O
Emily McCormick, vice president of editorial & research for Bank Director
If a director wants to get into hot water—and their financial institution as well—violating Regulation O is a good place to start. It's "one of the three things that makes bank examiners see red," says Sanford Brown, a partner at the law firm Alston & Bird (the other two being the violation of lending limits and noncompliance with Regulation W, which governs transactions between a member bank and its affiliates). Designed to prevent insider abuse and ensure the safety and soundness of the bank through good lending practices, it's a violation that examiners have zero tolerance for, and often results...
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Emily McCormick is Vice President of Editorial & Research for Bank Director. She oversees research projects, from in-depth reports to Bank Director’s annual surveys on M&A, risk, compensation, governance and technology. She also manages content for the Bank Services Program. You can connect with Emily on LinkedIn or contact her at [email protected].