Financial Disclosure Systems in Banking Regulatory Agencies

FPCD-77-29: Published: Mar 23, 1977. Publicly Released: Mar 23, 1977.

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The Office of the Comptroller of the Currency (OCC) must make sure that its employees maintain the highest ethical standards when doing their work. An effective financial disclosure system can help provide such assurances. However, the Comptroller has not yet developed the disclosure system to that point.

The OCC financial disclosure system needs: (1) adequate criteria for identifying positions where incumbents should file disclosure statements; (2) effective procedures with adequate criteria for reviewing statements and identifying conflicts of interest; (3) adequate procedures for collecting statements; (4) additional financial information reported on the statements to help enforce statutory prohibitions; and (5) greater assurance that assistant national bank examiners, who are not required to file statements, do not hold interests that violate statutory and/or administrative prohibitions.

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    Priority Open Recommendations:

    Department of the Treasury
    GAO-20-549PR: Published: Apr 23, 2020. Publicly Released: Apr 30, 2020.

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