Transcription of Retail Nondeposit Investment Products
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Safety and Soundness Office of theComptroller of the CurrencyWashington, DC 20219 Comptroller s Handbook Management (M)Earnings (E)Liquidity(L)Sensitivity toMarket Risk(S)OtherActivities(O)AssetQuality(A) CapitalAdequacy(C)O-RNIPR etail NondepositInvestment ProductsVersion , January 2015 Version Comptroller s Handbook i Retail Nondeposit Investment Products Contents Introduction ..1 Overview .. 1 Scope of Retail Sales .. 2 Types of RNDIPs and Related Services .. 4 RNDIP Delivery Channels .. 7 Regulatory Authority and Framework for Banks RNDIP Sales Activities .. 9 Examiner Risk Assessment .. 14 Risks Associated With RNDIP Sales Programs .. 23 Compliance Risk .. 23 Operational Risk .. 25 Strategic Risk .. 27 Reputation Risk .. 28 Credit Risk .. 29 Risk Management of RNDIP Sales Programs .. 30 Adoption of Program Management Statement and Policies and Procedures .. 31 Third-Party Relationship Risk Management.
mutual funds, hedge funds, real estate investment trusts (REIT), private real estate, private equity, structured products, initial public offerings or primary market offerings, and derivatives, such as put and call options. Additionally, a limited number of banks may offer
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