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Examination Procedures - Trust Departments and Trust Companies
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Examination Procedure |
Level I |
Level II |
Reference Material |
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#1 |
Trust Examination Planning |
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Officer's Questionnaire |
 (08/04) |
— |
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BSA Officer's Questionnaire |
(07/04) |
— |
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Statement of Assets |
(08/04) |
— |
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Request List – Corporate |
(08/12) |
— |
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Request List – Fiduciary |
(08/12) |
— |
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Request List –Short Form |
(08/12) |
— |
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#2 |
Fiduciary Management |
(08/12) |
(01/12) |
(01/07) |
#3 |
Operations, Internal Controls, & Audits |
(10/12) |
(01/12) |
(10/07) |
#4 |
Fiduciary Earnings |
(08/11) |
(01/12) |
(01/07) |
#5 |
Compliance |
(09/11) |
(01/12) |
(01/07) |
#6 |
Fiduciary Asset Management |
(08/11) |
(01/12) |
(09/12) |
#7 |
Trust Company Capital Adequacy |
(11/12) |
(01/12) |
(01/07) |
#8 |
Trust Company Asset Quality |
(02/12) |
(01/12) |
(01/07) |
#9 |
Trust Company Management |
(11/12) |
(10/12) |
(01/07) |
#10 |
Trust Company Earnings |
(08/11) |
(01/12) |
(01/07) |
#11 |
Trust Company Liquidity |
(08/11) |
(01/12) |
(01/07) |
#15 |
Short Form Report Procedures |
(08/11) |
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#16 |
Information Technology |
(09/12) |
(11/12) |
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#17 |
BSA / AML |
(04/10) |
(04/13) |
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#E1 |
Exempt Trust Company |
(02/12) |
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