Trust Examination Procedures

The examination programs focus on an entity's overall financial health, management practices, technology risks, and compliance with state and federal laws.

Examination Planning
Officer’s Questionnaire
BSA Officer’s Questionnaire
Statement of Assets
Request List – Trust Company
Supplemental Request List- Common and Collective Funds  
Request List – Fiduciary
Request List – Small Trust Department

 

Exam Procedures
#2 Fiduciary and Corporate Management
#3 Operations, Internal Controls, & Audits
#4 Fiduciary and Corporate Earnings
#5 Compliance
#6 Fiduciary Asset Management
#7 Trust Company Capital Adequacy
#8 Trust Company Asset Quality
#11 Trust Company Liquidity
#15 Small Trust Department
#17 Bank Secrecy Act / Anti-Money Laundering


Reference Material

The Reference Material file is a list with selected links to Department of Banking and federal regulatory agency issuances as they relate to each procedure above.