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
#2Fiduciary and Corporate Management 
#3Operations, Internal Controls, & Audits 
#4Fiduciary and Corporate Earnings 
#5Compliance 
#6Fiduciary Asset Management 
#7Trust Company Capital Adequacy 
#8Trust Company Asset Quality 
#11Trust Company Liquidity 
#15Small Trust Department 
#17Bank 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.