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January 2015

Conflicts of Interest

This publication is part of:

Collection: Comptroller’s Handbook

Series: Asset Management

Overview

This booklet focuses on evaluating the risks and associated controls over conflicts of interest that may arise in asset management activities.

Applicability

This booklet applies to the OCC's supervision of national banks and federal savings associations. References to national banks in this booklet also generally apply to federal branches and agencies of foreign banking organizations. Refer to 12 USC 3102(b) and the "Federal Branches and Agencies Supervision" booklet of the Comptroller's Handbook for more information.