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#1262481 - 10/06/09 07:40 PM Regulation R
Anonymous
Unregistered

What kind of policies and procedures are expected to comply with Regulation R? Is a risk assessment appropriate?

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#1263240 - 10/07/09 07:20 PM Re: Regulation R Anonymous
EdieT Offline
Member
EdieT
Joined: May 2009
Posts: 76
PA
We were required by our auditors to create a policy even though we rely on one of the exceptions stated in the Reg.
They were happy with a general recap of the reg & which exception we are citing to be excluded from the reg.

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#1271436 - 10/22/09 02:51 PM Re: Regulation R EdieT
ahkcompliance Offline
Diamond Poster
Joined: Sep 2008
Posts: 2,474
Midwest
Do you just have to pick out one or two exceptions or do you have to explain why all of them don't apply.

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