Legal Research

The Office of the Comptroller of the Currency (OCC), a bureau of the U.S. Department of the Treasury, charters, regulates, and supervises all national banks and federally chartered branches and agencies of foreign banks that are not members of the Federal Reserve System. The OCC has the statutory authority to take action against Institution-Affiliated Parties (IAPs) including:

·         Officers, directors, and employees;

·         A bank's controlling stockholders, agents, and certain other individuals.

Information may be requested on formal enforcement actions against the above entities for violations of laws, rules or regulations, unsafe or unsound practices, violations of final orders, violations of conditions imposed in writing, and for IAP's breaches of fiduciary duty.

Search Enforcement actions at www.occ.treas.gov/enforcementactions/. To obtain a paper copy of an order, agreement, or directive, fax the request to the OCC's Public Disclosure Room at 202-874-4448. A FOIA request should be addressed to Comptroller of the Currency, Disclosure Officer, Mail Stop 3-2, Washington, DC 20219.

© excerpt from The Public Record Research TIPS book