Download The Commercial Banking Regulatory Handbook by Price water house Coopers PDF

By Price water house Coopers

Useful support for facing the serious regulatory scrutiny in relation to financial institution protection and soundness. The guide specializes in the legislation and laws most crucial for profitable security examinations, together with audits, accounting criteria, capital adequacy and lending limits.

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Additional resources for The Commercial Banking Regulatory Handbook (Pricewaterhousecoopers Regulatory Handbooks)

Sample text

The independence rule requires the IPA to be independent in fact and in appearance. As revised effective February 5, 2001, the rule suggests independence may be impaired if, during the audit and professional engagement period, the accountant: (i) has a mutual or conflicting interest with the audit client, (ii) audits the accountant’s own work, (iii) functions as management or an employee of the audit client, (iv) acts as an advocate for the audit client, (v) has a financial or employment relationship with the client, or (vi) places the accounting firm in a position of being an advocate for the audit client.

The most common examples are the business luncheon or the holiday season gift from a customer. In addition to maintaining a written copy of its code of conduct, the guidelines recommend that the financial institution obtain a signed statement from its officials acknowledging receipt of the code of conduct and their agreement to comply. The institution also should maintain contemporaneous written reports of any disclosures made by its officials in connection with the code of conduct or written policy.

Special Situations Holding Company Subsidiaries When a holding company owns an institution, it may be appropriate to address the scope of its external audit program in terms of the institution’s relationship to the consolidated group. If the group’s financial statements for the same year are audited, the agencies generally would not expect the subsidiary of a holding company to obtain a separate audit of its financial statements, unless the subsidiary’s audit committee or board determines that the subsidiary’s activities involve significant risks.

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