Serv tools sops 1006May 8, 2007ABLE OF
HAPTER ELEGATIONS OF ...9 What is the Scope of this SOP?
What is the Investment Divisions Organization Structure? What is the Delegation of Authority in the Investment Division? 4.
Referrals to the Office of General Counsel (OGC) HAPTER ...13 What are the Different Types of Case Files? 2.
How are SBIC Case Files Maintained? What Documents are Included in the License File? What Documents are Included in the Loan File? Where are other Documents Related to the SBIC Maintained? HAPTER .15What Operational SBIC Actions Require SBA Prior Approval? 2.For Actions Requiring SBAs Prior Approval When a Licensee has Outstanding Leverage or Earmarked Assets.What Information Must the
For Actions Requiring SBAs Prior Approval for Both Leveraged
and UnLeveraged Licensees, What Information Must the Licensee Provide? 4.
What Operational SBIC Actions Required SBAs Post Approval? May 8, 2007What Information Must the SBIC Provi
Overview What are the Steps Required for the Issuance of SBA Leverage?
What Types of Funding Does SBA Offer SBICs? What are the Leverage Maximums for Section 301(c) SBICs? 5.
What are the Maximums for Subsidized Leverage for Existing Section 301(d)
6.What About the Maximum Amount of Total Leverage for Section are the Participating Security Licensee Liquidity Requirements? What are Your Responsibilities in Reviewing and Analyzing a Leverage
.How Does Non-Compliance with Regulatory Requirements Affect an SBICs
Leverage Commitment There any Other Circumstances that Make an SBIC Ineligible for SBA Refund Maturing Debentures?
Can an SBIC Ask for New Funds and Rollover Funds at the Same Time?
Must SBA Examine an SBIC Before It Provides Leverage?
What Should be Included in the Leverage Action Regarding the SBICs
History of Regulatory Compliance?
May 8, 2007What Financial Analysis is Required for a Leverage Other Information Do I Need to Provide in my Written Narrative? What are the Leverage Decision Steps? What Should I Do If I Decide That the Leverage Request Should be
Who Must Approve the Granting of a Leverage Commitment for SBA
What Role Does the Credit Committee Have in the Leverage Process?
What is the General Credit Committee Policy?
What Other Issues are Voted on by the Credit Committee? 23
Application Of Statement 114 To Modifications Of …
The Board, therefore, concluded that the loan impairment ... Q&A 18 of EITF D-80 provides guidance on th e extent of documentation and analysis (federalreserve.gov)
9 Hapter Rogram Verview And Elegations Of Uthority
What Documents are Included in the Loan File? ... Capital Impairment Calculation Worksheet ... required by the risk rating analysis and the Capital Impairment Report. (thecaq.org)
Notice to the SBIC of Final Action on a Leverage Request
What are the Leverage-Related Duties of the Chief
HAPTER XAMINATION ...
What are the Responsibilities of the Office of Examinations? How are Examinations Scheduled for SBICs? What Must I do Prior to the Examination? How are the Results of an Examination Reported? Are Some Findings More Significant Than Others? What are the Steps Involved to Resolve Examination Findings?
How do I Process an Examination Report Once it has been Issued? May 8, 2007How Much Time Should be Provided to an SBIC to Resolve a Violation? What if I Disagree With the Examiners Findings?
Who Makes Referrals to the Inspector General?
61 How and When do SBICs Provide SBA with Financial Information? What Must I be Able to do With the Financial Information Provided by the
What Forms are Used to Document the Review of SBA Form 468 Filings? How do I Prioritize the Review of Annual Reports on SBA Form 468? What Factors Should I Consider in the Financial Analysis of SBICs? What Do I Consider When Doing Financial Analysis? When is a Full Valuation Report Required? What Analytical Measures Should Be Applied? What Tools are Available to Perform Financial Calculations? 10.
How do I Calculate Capital Impairment for Section 301(c) SBICs? 11.
How Does Capital Impairment Differ for Section 301(d) SBICs? 12.
How and When do I Compute the Estimated Losses for an SBIC? HAPTER SBICS....70 What is a Rating of an SBIC? What is the Difference Between Financial Analysis and the
Ratings? May 8, 2007 What Information is Available for Me to Perform the Financial Analysis
and Regulatory Review Necessary to Complete the PERATIONS...
What is Restricted Operations? What are SBAs remedies under Restricted Operations? What is the process for placing an SBIC into Restricted Operations? What are the analysts responsibilities regarding the potential placement of a SBIC into Restricted Operations as a result of Capital Impairment?
HAPTER 74 What Does it Mean for a Licensee to be in Liquidation? When Should I Recommend Transfer of a Licensee to the Office of
Once I Decide That a Licensee Should be In Liquidation, What Steps
do I Take?
When is the Licensee Notified of
What Steps do I Take to Initiate the Recovery of Outstanding SBA
Leverage of a Licensee That Has Been Transferred to the Office of Liquidation (OL)?
Can a Licensee In Liquidation be Transferred Back to the Office of
SBIC Operations? May 8, 2007HAPTER EPORTING ....77 What Reports Must a Licensee Submit to the Investment Divi
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