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Bank Examinations

Trust Examination Manual

Table of Contents

Section 1 Management
Section 2 Operations, Controls and Auditing
Section 3 Part 1 - Asset Management
Part 2 - Securities Transactions, Processing and Administration
Section 4 Compliance/Account Administration - Personal and Charitable Accounts
Section 5 Compliance/Account Administration Employee Benefit Accounts
Section 6 Account Administration Corporate Trust Accounts
Section 7 Compliance - Pooled Investment Vehicles
Section 8 Conflicts Of Interest, Self-Dealing and Contingent Liabilities
Section 9 Earnings, Volume Trends and Prospects
Section 10 Other Trust Matters
Section 11 FDIC: Registered Transfer Agent Examination Manual

Appendices

Appendix A Report of Examination Instructions - Not Available
Appendix B Examination Aids
Appendix C Fiduciary Law Excerpts or Digests of Applicable Laws, Regulations and Principles
Appendix D Securities Law Excerpts or Digests of Applicable Laws, Regulations and Principles
Appendix E Employee Benefit Law, Regulations, and Opinions
Appendix F Corporate Trust Law Excerpts or Digests of Applicable Laws, Regulations and Principles
Appendix G Collective Investment Funds Law, Regulations and Opinions
Appendix H Glossary

Last Updated: April 19, 2024