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Asset Management Issuances

Comptroller's Handbook Booklets, Asset Management Series

Other Comptroller's Handbook Booklets


Laws & Regulations


OCC Bulletins

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

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

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
01/14/2205  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