Book

A Bank’s Guide to Implementing a Non-Deposit Investment Products Program (NDIPs)

This Guide examines program development from both a regulatory and compliance standpoint. Specifically, it provides financial institutions considering implementing a non-deposit investment services program access to all of the needed regulatory and compliance material in one easy to read guidebook.

GUIDE HIGHLIGHTS

• Executive Summary
• Provides those within the bank having primary oversight an understanding of what’s required to meet Interagency Standards
• Provides those within the bank having primary oversight an overview of compliance exam requirements
• Examples of NDIP Policy and Risk Assessment provided
• Defines requirements of a Networking Agreement
• Provides those within the bank having primary oversight an overview of Regulation R relative to NDIP Program implementation.

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