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Alphabetical Listing

Comptroller's Handbook


Booklets Issued Since the OTS' Integration With the OCC (July 21, 2011)

Examination Process (EP)
Booklet Transmittal Bulletin Worksheets
Foreword (PDF) OCC 2013-12  
Federal Branches and Agencies Supervision (PDF) OCC 2014-46 Capital Equivalency Deposit Adequacy Worksheet (MS Word)
Safety and Soundness (seven categories)
Capital Adequacy (C)
Booklet Transmittal Bulletin Worksheets
Asset Quality (A)
Booklet Transmittal Bulletin Worksheets
Agricultural Lending (PDF) OCC 2014-24  
Asset-Based Lending (PDF) OCC 2014-11  
Commercial Real Estate Lending (PDF) OCC 2013-19  
Concentrations of Credit (PDF) OCC 2011-48  
Deposit-Related Credit (PDF) OCC 2015-17 Checklist for Deposit Advance Products (MS Word)
Lease Financing (PDF) OCC 2014-40  
Mortgage Banking (PDF) OCC 2014-2  
Oil and Gas Production Lending (PDF) OCC 2014-15  
Other Real Estate Owned (PDF) OCC 2013-20  
Trade Finance and Services (PDF) OCC 2015-26  
Management (M)
Booklet Transmittal Bulletin Worksheets
Insider Activities (PDF) OCC 2013-31  
Litigation and Other Legal Matters (PDF) OCC 2015-4  
Qualified Thrift Lender (PDF) OCC 2013-30 QTL Worksheet (MS Excel)
Earnings (E)
Booklet Transmittal Bulletin Worksheets
Liquidity (L)
Booklet Transmittal Bulletin Worksheets
Liquidity (PDF) OCC 2012-17  
Sensitivity to Market Risk (S)
Booklet Transmittal Bulletin Worksheets
Other Activities (O)
Booklet Transmittal Bulletin Worksheets
Merchant Processing (PDF) OCC 2014-41 Portfolio Profile Worksheet (MS Word)
Merchant File Review Worksheet
(MS Word)
Merchant Activity and Capital Worksheet (MS Word)
Retail Nondeposit Investment Products (PDF) OCC 2015-2  
Asset Management (AM)
Booklet Transmittal Bulletin Worksheets
Collective Investment Funds (PDF) OCC 2014-25  
Conflicts of Interest (PDF) OCC 2015-3  
Personal Fiduciary Activities (PDF) OCC 2015-12 Personal Account Review Worksheet (MS Word)
Retirement Plan Products and Services (PDF) OCC 2014-3  
Unique and Hard-to-Value Assets (PDF) OCC 2012-22  
Consumer Compliance (CC)
Booklet Transmittal Bulletin Worksheets
Electronic Fund Transfer Act (PDF) OCC 2014-43 EFTA Worksheet (MS Word)
Garnishment of Accounts Containing Federal Benefit Payments (PDF) OCC 2014-12 Garnishment of Accounts Worksheet (MS Word)
Privacy of Consumer Financial Information (PDF)    
Real Estate Settlement Procedures Act (PDF) OCC 2015-25 Real Estate Settlement Procedures Act Worksheet (MS Word)
SAFE Act (PDF) OCC 2012-11  
Truth in Lending Act (PDF) OCC 2014-61 Truth in Lending Act Worksheets
Securities Compliance (SC)
Booklet Transmittal Bulletin Worksheets
Government Securities Act (PDF) OCC 2015-5  
Municipal Securities Rulemaking Board Rules (PDF) OCC 2014-36  

Booklets Issued Before July 21, 2011 

Asset Management
Booklet Cover Letter Supplemental Procedures
Asset Management (PDF) December 2000 (PDF)  
Asset Management Operations and Controls (PDF) January 2011 (PDF)  
Custody Services (PDF) January 2002 (PDF)  
Investment Management Services (PDF) August 2001 (PDF)  
Safety and Soundness
Booklet Cover Letter Supplemental Procedures
Accounts Receivable and Inventory Financing (PDF) March 2000 (PDF)  
Allowance for Loan and Lease Losses (PDF) June 1996 (PDF)  
Analytical Review of Income and Expense (PDF)    
Asset Securitization (PDF) November 1997 (PDF)  
Bank Dealer Activities (PDF)    
Bank Premises and Equipment    
Bank Supervision Process (PDF) September 2007 (PDF)  
Capital Accounts and Dividends (PDF)    
Cash Accounts (PDF)    
Commercial Loans (PDF)    
Community Bank Supervision (PDF) January 2010 (PDF)  
Consigned Items and Other Customer Services June 1996 (PDF)  
Country Risk Management March 2008 (PDF)  
Credit Card Lending (PDF) October 1996 (PDF)  
Due from Banks    
Duties and Responsibilities of Directors (PDF)    
Emerging Market Country Products and Trading Activities (PDF) NR 95-139 (PDF)  
Employee Benefits (PDF)    
Floor Plan Loans    
Foreign Exchange (PDF)    
Futures Commission Merchant Activities (PDF) NR 95-122 (PDF)  
Installment Loans (PDF)    
Insurance Activities (PDF) June 2002 (PDF)  
Interest Rate Risk (PDF) June 1997 (PDF)  
Internal and External Audits (PDF) April 2003 (PDF)  
Internal Control (PDF) January 2001 (PDF)  
Internal Control Questionnaires/Verification Procedures    
Investment Securities (PDF)    
Large Bank Supervision (PDF) January 2010 (PDF) OCC 2001-35
Leveraged Lending February 2008 (PDF)  
Loan Portfolio Management (PDF) April 1998 (PDF)  
Management and Board Processes (PDF)    
Management Information Systems (PDF) May 1995 (PDF)  
Other Assets (and Other Liabilities) (PDF)    
Payment Systems and Funds Transfer Activities (PDF)   OCC 2010-17
Private Placements (PDF)    
Rating Credit Risk (PDF) April 2001 (PDF)  
Real Estate Loans (PDF)    
Related Organizations August 2004 (PDF)  
Retail Lending Examination Procedures OCC 2004-59 (PDF) OCC 99-15
Review of Regulatory Reports (PDF)    
Risk Management and Insurance (PDF)    
Risk Management of Financial Derivatives (PDF) January 1997 (PDF) OCC 2014-8
Sampling Methodologies (PDF) August 1998 (PDF)  
Consumer Compliance*
Booklet Cover Letter Supplemental Procedures
Community Reinvestment Act Examination Procedures (PDF) May 1999 (PDF) OCC 2005-29, OCC 2006-17, OCC 2014-16
Compliance Management System (PDF) August 1996 (PDF)  
Depository Services (PDF) September 2006 (PDF)  
Fair Credit Reporting (PDF) October 1996 (PDF) OCC 2008-28
Fair Lending (PDF) OCC 2010-4  
Flood Disaster Protection (PDF) May 1999 (PDF)  
Home Mortgage Disclosure (PDF) OCC 2010-8  
Homeownership Counseling Examination Procedures (PDF)    
Other Consumer Protection Laws and Regulations (PDF) August 2009 (PDF)  
Overview (PDF) August 1996 (PDF)  
Protecting Tenants at Foreclosure Act of 2009 (PDF) OCC 2011-15  
Servicemembers Civil Relief Act of 2003 (PDF) OCC 2011-16  
Thrift Publications
Office of Thrift Supervision (OTS) Examination Handbook
OTS Trust and Asset Management Handbook

* Note: Risk-based consumer compliance procedures for community banks are on pages 121-133 of the Community Bank Supervision (PDF).