This booklet provides an overview of personal fiduciary services, their associated risks, and a framework for managing those risks. It applies to personal accounts administered by a national bank in a..

The ability to gather assets, effectively employ technology, and efficiently process huge volumes of transactions is essential in the custody business today. With the growth of the investment indust..

This booklet contains an overview of the investment management business, its associated risks, and an appropriate risk management framework. It provides national bank examiners with supervisory guid..

The Office of the Comptroller of the Currency (OCC) defines asset management as the business of providing financial products or services to a third party for a fee or commission. The supervision of a..

Conflicts of interest are not limited to instances in which the bank is acting as a fiduciary. In fact, as the trust business increasingly becomes an asset management business, the opportunities for..