12 CFR Part 150
PART 150—FIDUCIARY POWERS OF FEDERAL SAVINGS ASSOCIATIONS
- PART 150—FIDUCIARY POWERS OF FEDERAL SAVINGS ASSOCIATIONS
- Chapter I—Comptroller of the Currency, Department of the Treasury
- § 150.10 What regulations govern the fiduciary operations of Federal savings associations?
- § 150.20 What are fiduciary powers?
- § 150.30 What fiduciary capacities does this part cover?
- § 150.40 When do I have investment discretion?
- § 150.50 What is a fiduciary account?
- § 150.60 What other definitions apply to this part?
- Subpart A—Obtaining Fiduciary Powers
- § 150.70 Must I obtain OCC approval or file a notice before I exercise fiduciary powers?
- Subpart B—Exercising Fiduciary Powers
- § 150.130 How may I conduct multi-state operations?
- § 150.135 How do I determine which state's laws apply to my operations?
- § 150.136 To what extent do state laws apply to my fiduciary operations?
- § 150.140 Must I adopt and follow written policies and procedures in exercising fiduciary powers?
- Fiduciary Personnel and Facilities
- § 150.150 Who is responsible for the exercise of fiduciary powers?
- § 150.160 What personnel and facilities may I use to perform fiduciary services?
- § 150.170 May my other departments or affiliates use fiduciary personnel and facilities to perform other services?
- § 150.180 May I perform fiduciary services for, or purchase fiduciary services from, another association or entity?
- § 150.190 Must fiduciary officers and employees be bonded?
- Review of a Fiduciary Account
- § 150.200 Must I review a prospective account before I accept it?
- § 150.210 Must I conduct another review of an account after I accept it?
- § 150.220 Are any other account reviews required?
- Custody and Control of Assets
- § 150.230 Who must maintain custody or control of assets in a fiduciary account?
- § 150.240 May I hold investments of a fiduciary account off-premises?
- § 150.245 When is a fiduciary not required to maintain custody or control of fiduciary assets?
- § 150.250 Must I keep fiduciary assets separate from other assets?
- Investing Funds of a Fiduciary Account
- § 150.260 How may I invest funds of a fiduciary account?
- Funds Awaiting Investment or Distribution
- § 150.290 What must I do with fiduciary funds awaiting investment or distribution?
- § 150.300 Where may I deposit fiduciary funds awaiting investment or distribution?
- § 150.310 What if the FDIC does not insure the deposits?
- § 150.320 What is acceptable collateral for uninsured deposits?
- Restrictions on Self Dealing
- § 150.330 Are there investments in which I may not invest funds of a fiduciary account?
- § 150.340 May I exercise rights to purchase additional stock or fractional shares of my stock or obligations or the stock or obligations of my affiliates?
- § 150.350 May I lend, sell, or transfer assets of a fiduciary account if I have an interest in the transaction?
- § 150.360 May I make a loan to a fiduciary account that is secured by an interest in the assets of the account?
- § 150.370 May I sell assets or lend money between fiduciary accounts?
- Compensation, Gifts, and Bequests
- § 150.380 May I earn compensation for acting in a fiduciary capacity?
- § 150.390 May my officer or employee retain compensation for acting as a co-fiduciary?
- § 150.400 May my fiduciary officer or employee accept a gift or bequest?
- Recordkeeping Requirements
- § 150.410 What records must I keep?
- § 150.420 How long must I keep these records?
- § 150.430 Must I keep fiduciary records separate and distinct from other records?
- Audit Requirements
- § 150.440 When do I have to audit my fiduciary activities?
- § 150.450 What standards govern the conduct of the audit?
- § 150.460 Who may conduct an audit?
- § 150.470 Who directs the conduct of the audit?
- § 150.480 How do I report the results of the audit?
- Subpart C—Depositing Securities With State Authorities
- § 150.490 When must I deposit securities with state authorities?
- § 150.500 How much must I deposit if I administer fiduciary assets in more than one state?
- § 150.510 What must I do if state authorities refuse my deposit?
- Subpart D—Terminating Fiduciary Activities Receivership or Liquidation
- § 150.520 What happens if I am placed in receivership or voluntary liquidation?
- Surrender of Fiduciary Powers
- § 150.530 How do I surrender fiduciary powers?
- § 150.540 When will the OCC terminate my fiduciary powers?
- § 150.550 May I recover my deposit from state authorities?
- Revocation of Fiduciary Powers
- § 150.560 When may the OCC revoke my fiduciary powers?
- § 150.570 What procedures govern the revocation?
- Subpart E—Activities Exempt From This Part
- § 150.580 When may I conduct fiduciary activities without obtaining OCC approval?
- § 150.590 What standards must I observe when acting in exempt fiduciary capacities?
- § 150.600 How may funds be invested when I act in an exempt fiduciary capacity?
- § 150.610 What disclosures must I make when acting in exempt fiduciary capacities?
- § 150.620 May I receive compensation for acting in exempt fiduciary capacities?
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