Asset Management Issuances

Top Tasks

Comptroller's Handbook Booklets, Asset Management Series

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

OCC Bulletins

Date	ID	Title
08/13/2020	OCC 2020-74	Collective Investment Funds: Prior Notice Period for Withdrawals
03/23/2020	OCC 2020-22	Short-Term Investment Funds: Interim Final Rule and Order
03/23/2020	OCC 2020-10	Third-Party Relationships: Frequently Asked Questions to Supplement OCC Bulletin 2013-29
03/23/2020	OCC 2018-15	T+2 Securities Transaction Settlement Cycle: Final Rule
05/08/2017	OCC 2017-16	Fiduciary Powers: Revised Comptroller’s Licensing Manual Booklet
03/23/2020	OCC 2017-7	Third-Party Relationships: Supplemental Examination Procedures
12/20/2016	OCC 2016-46	Receiverships for Uninsured National Banks: Final Rule
05/19/2016	OCC 2016-17	Money Market Funds: Compliance With SEC Money Market Fund Rules by Bank Fiduciaries, Deposit Sweep Arrangements, and Bank Investments
02/10/2015	OCC 2015-12	Personal Fiduciary Activities: Revised Comptroller's Handbook Booklet
01/14/2015	OCC 2015-3	Conflicts of Interest: Revised Comptroller's Handbook Booklet and Rescissions
01/14/2015	OCC 2015-2	Retail Nondeposit Investment Products: Revised Comptroller's Handbook Booklet and Rescissions
05/28/2014	OCC 2014-25	Collective Investment Funds: Comptroller's Handbook Booklet Revision and Rescission
02/12/2014	OCC 2014-3	Retirement Plan Products and Services: Comptroller's Handbook Revisions and Rescissions
12/17/2013	OCC 2013-39	Social Media: Consumer Compliance Risk Management Guidance: Final Supervisory Guidance
10/30/2013	OCC 2013-29	Third-Party Relationships: Risk Management Guidance
03/05/2013	OCC 2013-8	Short-Term Investment Funds Reporting Requirements: Monthly Disclosures
10/10/2012	OCC 2012-31	Short-Term Investment Funds: Final Rule
08/23/2012	OCC 2012-22	Unique and Hard-to-Value Assets: New Comptroller’s Handbook Booklet
09/12/2011	OCC 2011-38	Retail Foreign Exchange Transactions: Interim Final Rule
07/28/2011	OCC 2011-34	Retail Foreign Exchange Transactions: Final Rule
04/04/2011	OCC 2011-12	Sound Practices for Model Risk Management: Supervisory Guidance on Model Risk Management
03/29/2011	OCC 2011-11	Risk Management Elements: Collective Investment Funds and Outsourced Arrangements
09/20/2010	OCC 2010-37	Fiduciary Activities of National Banks: Self-Deposit of Fiduciary Funds
06/30/2010	OCC 2010-24	Incentive Compensation: Interagency Guidance on Sound Incentive Compensation Policies
06/17/2009	OCC 2009-19	Revision to FDIC Rule 12 CFR 360: New Notice Requirements for Sweep Accounts
03/27/2008	OCC 2008-10	Fiduciary Activities of National Banks: Annual Reviews of Fiduciary Accounts Pursuant to 12 CFR 9.6(c)
03/06/2008	OCC 2008-5	Conflicts of Interest: Risk Management Guidance-Divestiture of Certain Asset Management Businesses
10/29/2007	OCC 2007-42	Bank Securities Activities: SEC’s and Federal Reserve’s Final Regulation R
06/26/2007	OCC 2007-21	Supervision of National Trust Banks: Revised Guidance: Capital and Liquidity
02/05/2007	OCC 2007-7	Soft Dollar Guidance: Use of Commission Payments by Fiduciaries
01/25/2007	OCC 2007-6	Registered Transfer Agents: Transfer Agent Registration, Annual Reporting, and Withdrawal from Registration
09/01/2006	OCC 2006-39	Automated Clearing House Activities: Risk Management Guidance
08/15/2006	OCC 2006-35	Authentication in an Internet Banking Environment: Frequently Asked Questions
06/01/2006	OCC 2006-24	Interagency Agreement on ERISA Referrals: Information Sharing Between the FFIEC Agencies and the DOL
12/14/2005	OCC 2005-44	Small Entity Compliance Guide: Information Security
10/12/2005	OCC 2005-35	Authentication in an Internet Banking Environment
05/10/2004	OCC 2004-20	Risk Management of New, Expanded, or Modified Bank Products and Services: Risk Management Process
01/05/2004	OCC 2004-2	Banks/Thrifts Providing Financial Support to Funds Advised by the Banking Organization or its Affiliates
04/23/2004	OCC 2003-15	Weblinking: Identifying Risks and Risk Management Techniques
10/16/2002	OCC 2002-39	Investment Portfolio Credit Risks: Safekeeping Arrangements
05/15/2002	OCC 2002-16	Bank Use of Foreign-Based Third-Party Service Providers
07/18/2002	OCC 2001-35	Examination Procedures to Evaluate Compliance with the Guidelines to Safeguard Customer Information
02/28/2001	OCC 2001-12	Bank-Provided Account Aggregation Services: Guidance to Banks
02/15/2001	OCC 2001-8	Guidelines Establishing Standards for Safeguarding Customer Information
10/16/2002	OCC 1998-32	Civil Money Penalties: Interagency Statement
05/15/1997	OCC 1997-22	Fiduciary Activities of National Banks, Questions and Answers 12 CFR 9
04/30/1996	OCC 1996-25	Fiduciary Risk Management of Derivatives & Mortgage-backed Securities
09/22/1995	OCC 1995-52	Retail Sales of Nondeposit Investment Products: Clarification of Interagency Guidelines
04/14/1995	OCC 1995-20	Tying Restrictions: Guidance on Tying
02/24/1994	OCC 1994-13	Nondeposit Investment Sales Examination Procedures: Interagency Statement

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

Date	ID	Title
07/22/2020	IL 1170	Authority of a National Bank to Provide Cryptocurrency Custody Services for Customers
09/25/2015	IL 1154	Request to Operate a Special Exemption Fund Pursuant to Section 9.18(c)(5)
03/08/2010	IL 1126	Purchase of Auction Rate Securities
09/19/2009	IL 1121	Real Estate Fund Withdrawal Requirements
02/20/2009	IL 1120	Model-Driven Fund Fees and Conflicts
08/01/2009	IL 1119	Index & Model-drive CIF - Benchmarks
04/03/2009	IL 1115	Purchase of Auction Rate Securities
09/09/2008	IL 1111	Waiver from 12 CFR 12 Confirmation Requirement
10/10/2008	IL 1106	Fiduciary Activities in the states of Georgia, South Carolina and Florida
09/18/2008	IL 1103	Fiduciary Activities in the state of North Carolina
04/04/2007	IL 1080	Fiduciary Powers in state of Missouri
04/19/2007	IL 1078	Custody Trust Ledger Deposit Account Program
11/08/2005	IL 1066	Risk based capital treatment for certain securities lending transactions
04/24/2006	IL 1062	Reporting of Personal Transactions in Securities
12/20/2005	IL 1047	Authority of a National Bank Trust Company to Sponsor a Closed-end Fund and Investment in Fund Shares under 12 CFR 1.3(h)(2)
08/09/2005	IL 1037	Authority to Hedge Investment Advisory Fees
06/01/2005	IL 1031	Creation of a trust to hold investments
05/23/2005	IL 1029	Waiver of certain Provisions of 12 CFR 12
04/27/2005	IL 1026	Securities Conduit Lending Services
01/28/2005	IL 1017	Interest on Lawyers Trust Account
01/14/2005	IL 1016	Preemption of State Laws
10/04/2004	IL 1011	Waiver of Beneficial Owner Reporting under 12 CFR 12
06/22/2004	IL 995	Multi-state Fiduciary Activities
08/12/2003	IL 973	Federal trust powers of a national bank
06/16/2003	IL 971	OCC supervision of operating subsidiaries
04/28/2003	IL 969	Collective Fund Limited to Funds Awaiting Investment or Distribution
06/06/2003	IL 967	Insurance Subsidiaries & Risk Management Services
05/22/2002	IL 936	Limitations on Collective Fund Withdrawals
12/02/2001	IL 920	Frequency of Collective Fund Admissions and Withdrawals
11/09/2001	IL 919	Allocation of Costs by Model-Driven Funds to Participants Admitted to or Withdrawing From Collective Funds
01/13/2000	IL 884	Investing Employee Benefit Plan Accounts Held by a National Bank as Directed Agent or Nondiscretionary Custodian in a Collective Fund
05/26/1999	IL 865	Pooling of Securities Lending Collateral Held Pursuant to Securities Lending Agreements Qualifies for Common Trust Fund Treatment
01/27/1999	IL 850	Proposed Investment Advisory Program
09/21/1998	IL 841	Common Trust Funds – Method of Distribution
04/09/1996	IL 829	Different Fund Management Fees to Collective Fund Participants
03/12/1996	IL 722	Investment of Collective Fund Assets in Mutual Funds and Receipt of Fees
12/21/1995	IL 716	Valuation Requirements for GICs and SICs held in Collective Funds

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

Topics

Asset Management Issuances

Popular Links

Top Tasks

Comptroller's Handbook Booklets, Asset Management Series

Other Comptroller's Handbook Booklets

Comptroller's Licensing Manual

Laws & Regulations

OCC Bulletins

Banking Circulars

Interpretive Letters

Other References

Popular Links

Top Tasks