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Account Opening Worksheet
Another BOL user contributed a worksheet developed by his operations area to be used for accounts opened in circumstances where the applicant is not present in person or all signers are not present.
ACH Policy
Another BOL user contributed this ACH Policy, but wanted no credit as it is one passed on and on within her bank.
Advertising Policy and Procedures (Sample)
This sample advertising policy and procedure was generously made available to all BOL users from Marie Herrington, as an aid in reviewing a bank’s marketing and advertising initiatives for regulatory compliance.
Advertising Approval Request Form (doc file - right click on link and save the file to your hard drive)
Advertising and Marketing Approval Policy (doc file - right click on link and save the file to your hard drive)
Anti-Money Laundering Policy (sample)
Wayne Barnett, CPA, of Wayne Barnett Software, has provided this sample AML policy:
Asset/Liability Management Policy (sample)
Ed Krei from James Baker & Co. sent us a copy of an asset/liability management policy they developed a while back.
- .doc version (right click on link and choose "save link as" or "save target as" to save the file to your hard drive; then pull it up in Word)
- Word Perfect version (right click on link and choose "save link as" or "save target as" to save the file to your hard drive; then pull it up in WordPerfect)
- PDF
Bomb Threat
Bomb Threat Procedures: Management Personnel
Bomb Threat Procedures: Staff Personnel
Bomb Call Warning Form (doc file - right click on link and save the file to your hard drive)
Cash and Teller Operations - Night Drop & Mail
BOL User Wendy Lavoie has contributed her checklist of procedures to follow in connection with the night depository function.
CIP - ID Workflow Charts
John Irving with The Banker's Benchmark Company has contributed two identification workflow charts -- one for individual account holders and one for business account holders. They provides a visual reminder of the steps to be taken during the account opening process.
Code of Ethics
Ed McDonough from Jacksonville, Florida, provided a sample Code of Ethics at the Bankers' Hotline Security Officer Workshop in 2000.
Customer Identification Program policies (two different samples)
Two BOL Users, Elena Little and Tina Sweet-Williams, have contributed samples of their own customer identification program policies. Get ideas for how to write or tweak your own!
Tina A. Sweet-Williams' policy -- revised 10/26/02:
Elena Little's Policy:
Environmental Risk Policy & Program
Any time you loan money on real estate or, worse yet, have to foreclose on real property, there are environmental risk implications to consider. Upon the request of a BOL user, we've unearthed an environmental risk policy and program that Mary Beth Guard drafted back in 1993. If you don't already have such a policy and program, review this to determine where to start. If you do have one, you may still want to take a peek to see if it covers areas yours doesn't.
FACT Act Policy
Corky Corley, Compliance Officer for Hinsdale Bank & Trust Co in Hinsdale, IL saw a need to be proactive and address a need for internal guidance on the Fair and Accurate Credit Transactions Act. She produced this 27 page template and decided to share with her fellow BOL'ers.
This includes a:
- summary of the law,
- policy statement,
- sections on ID theft procedure,
- fraud and active duty alerts,
- notice of action taken regarding pricing,
- responsibility of furnishers of credit information,
- disclosure of credit scores,
- sharing information with affiliates,
- protection of medical information
- more, and forms.
This may be a stand alone document for you, tweaked as more of the regulation is released, and/or added to your FCRA Policy.
Funds Verification Procedures
BOL User Jac Filer (frequent poster on Threads and creator of two of our ecards!) has contributed funds verification procedures currently used by his bank. Such procedures are an essential part of an information security program.
Information Security Policy (sample)
From Wayne Barnett, CPA, of Wayne Barnett Software, we have another sample Information Security Policy:
InfoSec Policies/Suggestions
Information Security Clearinghouse - helpful information for building your information security policy
Intrusion Risk Assessment Policy (sample)
From Wayne Barnett, CPA, of Wayne Barnett Software, has provided a sample Intrusion Risk Assessment Policy:
Investment Policy (sample)
Ed Krei from James Baker & Co. sent us a copy of an investment policy they developed a while back.
- .doc version (right click on link and choose "save link as" or "save target as" to save the file to your hard drive; then pull it up in Word)
- WordPerfect version (right click on link and choose "save link as" or "save target as" to save the file to your hard drive; then pull it up in WordPerfect)
- PDF version
Returned Mail
Returned Mail, Procedures and Forms
Robbery Procedures
Robbery Procedures: Management Personnel
Robbery Procedures: Staff Personnel
Security Officer - Position Description
Security Officer's Position Description
Security Officer's Role
Security Officer's Role - from Dana Turner
Safe Deposit Policy & Procedure
BOL Guru Dana Turner provided this safe deposit policy procedure. It defines and describes procedures for limiting exposure involving lost or stolen claims from safe deposit box customers at each cash-handling facility, and from the service of court orders by law enforcement agents.
Teller Over/Short Policy
Whistleblower Policy and Disclosure
[These tools have been removed at the request of the submitting party.]
On Demand Training
 Embezzlers: Working With Liars, Cheats & Thieves
Presented by: Dana Turner
Two hours of online, on-demand training from BOL Learning Connect.
Purchase now!
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