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Board Oversight: Insiders and Regulation O

Explores a bank board's key oversight responsibility related to managing the abuse of insider information and ensuring there are policies and procedures in place to address such risks. This includes recognizing that regulatory agencies place a heavy emphasis on compliance with Regulation O, having found that insider dealings are the most common cause of institution failure in times of economic stress.

Duration: Approximately 7 minutes
Created: September 2018

What You'll Learn

After successfully completing the course, you will be able to:

  • Describe the types of insiders who are covered under Reg O
  • Explore the specific activities that are prohibited and permitted under Reg O
  • Explain recordkeeping and reporting requirements and expectations

Audience

For members of a bank's board of directors.


​Questions? Please contact training@aba.com for more information.

 

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Note to Members: If you need to record your training for compliance purposes, sign in to ABA's LMS and access this training through your Frontline Compliance Training license agreement.

 

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