Asset Management Issuances
Comptroller's Handbook Booklets, Asset Management Series
- Asset Management
- Asset Management Operations and Controls
- Collective Investment Funds
- Conflicts of Interest
- Custody Services
- Fiduciary Powers
- Investment Management Services
- Personal Fiduciary Services
- Retirement Plan Products and Services
- Unique and Hard-to-Value Assets
Other Comptroller's Handbook Booklets
- Bank Supervision Process (Appendix C: Uniform Interagency Trust Rating System)
- Community Bank Supervision
- Insider Activities
- Insurance Activities
- Large Bank Supervision
- Retail Nondeposit Investment Products
Comptroller's Licensing Manual
Laws & Regulations
- Trust Powers, 12 USC 92a
- Fiduciary Activities, 12 CFR 9
- Preamble and Final Rule 12 CFR 9
- Record Keeping & Confirmation Requirements (NBs), 12 CFR 12
- Record Keeping & Confirmation Requirements (FSA), 12 CFR 151
- Transfer Agent Activities, 17 CFR 240
- ERISA, Sections 401-409
- Volcker Rule 12 CFR 44, NR 2013-186
OCC Bulletins
Banking Circulars
Date | ID | Title |
---|---|---|
10/27/1993 | BC-277 | Risk Management of Financial Derivatives |
09/03/1993 | BC-275 | Free Riding in Custody Accounts |
05/10/1989 | BC-235 | International Payment Systems Risk |
05/07/1985 | BC-196 | FFIEC Supervisory Policy—Securities Lending |
Interpretive Letters
Other References
- OTS Thrift Bulletin 23a, "Sales of Securities" (June 23, 1993)
- OCC News Release 2004-23, "OCC Issues Contact Information for Questions Concerning Tying" (March 23, 2004)
- OCC Advisory Letter 2004-9, "Electronic Record Keeping" (June 21, 2004)
- OCC Letter "Call Report Schedule RC-T – Mineral Properties" (January 14, 2005)
- OCC Letter "Owner Trustee Fiduciary Accounts: Reporting on Schedule RC-T" (June 20, 2007)
- Form TA-1 Transfer Agent Registration and Amendment Form