• Bank Holding Company Compliance Manual, 2d Edition
 
 
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Bank Holding Company Compliance Manual, 2d Edition

Bank Holding Company Compliance Manual, 2d Edition

A practical, how-to guide on the day-to-day compliance responsibilities faced by bank holding company and financial holding company compliance officers.


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    A practical, how-to guide on the day-to-day compliance responsibilities faced by bank holding company and financial holding company compliance officers. This unique resource covers topics such as:

    • Forming a bank holding company
    • Expanding a bank holding company through acquisition
    • Determining the extent of permissible activities for BHCs and FHCs
    • Resolving limitations on transactions with affiliates and with management officials
    • Understanding capital requirements

    Designed to assist in developing and maintaining operating manuals, particularly with respect to permissible activities and limitations on transactions with affiliates and management officials. Functions as an auditing guide for ongoing compliance with respect to these activities and limitations.

    Includes requirements of the financial services modernization legislation, along with other recent legislation and related regulations. Instructions and sample forms for Federal Reserve Reports, applications and notices, practice hints and examples are all included.

    First published in 1986.

    2 volumes; looseleaf; updated with revisions.

    Chapter 1 Acquisition of Voting Securities or Assets: Banks and BHCs
    Chapter 2 Acquisition of Voting Securities or Assets: Domestic Nonbank Companies
    Chapter 3 Permitted Domestic Nonbank Activities
    Chapter 4 Acquisitions of Shares or Assets: Foreign Companies
    Chapter 5 Foreign Activities: Foreign Subsidiaries, Foreign Joint Ventures and Foreign Portfolio Companies
    Chapter 6 Management Official Interlocks
    Chapter 7 Transactions by Bank Subsidiaries with Affiliates and Their Directors and Officers: Section 23 of the Federal Reserve Act and FRB Regulation O
    Chapter 8 Internal Capital and Financial Requirements
    Appendix A Definitions
    Forms
    Index/Tables

     

    Beckford, Joseph G.


    Joseph G. Beckford specializes in business and banking law. Before entering private practice, Mr. Beckford was Senior Counsel at Bank of America, and prior Director of Legal Affairs and Corporate Secretary at Southeast Banking Corporation. He handled a full range of corporate legal matters for these banking institutions and their domestic and international subsidiaries, including establishment of new banks and banking offices, formation of subsidiaries, lending, investments and other bank operations. Mr. Beckford has handled the contractual, securities, antitrust and regulatory aspects of numerous acquisition transactions, and wrote the first Bank of America compliance manual. A graduate of Amherst College, Mr. Beckford received his JD from Yale University and his MBA from Harvard Business School.

     

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