Federal (United States) · Regulations
Subpart B — Exercising Fiduciary Powers
37 sections
37 sections
- 12 C.F.R. § 150.130How may I conduct multi-state operations?
- 12 C.F.R. § 150.135How do I determine which state's laws apply to my operations?
- 12 C.F.R. § 150.136To what extent do state laws apply to my fiduciary operations?
- 12 C.F.R. § 150.140Must I adopt and follow written policies and procedures in exercising fiduciary powers?
- 12 C.F.R. § 150.150Who is responsible for the exercise of fiduciary powers?
- 12 C.F.R. § 150.160What personnel and facilities may I use to perform fiduciary services?
- 12 C.F.R. § 150.170May my other departments or affiliates use fiduciary personnel and facilities to perform other services?
- 12 C.F.R. § 150.180May I perform fiduciary services for, or purchase fiduciary services from, another association or entity?
- 12 C.F.R. § 150.190Must fiduciary officers and employees be bonded?
- 12 C.F.R. § 150.200Must I review a prospective account before I accept it?
- 12 C.F.R. § 150.210Must I conduct another review of an account after I accept it?
- 12 C.F.R. § 150.220Are any other account reviews required?
- 12 C.F.R. § 150.230Who must maintain custody or control of assets in a fiduciary account?
- 12 C.F.R. § 150.240May I hold investments of a fiduciary account off-premises?
- 12 C.F.R. § 150.245When is a fiduciary not required to maintain custody or control of fiduciary assets?
- 12 C.F.R. § 150.250Must I keep fiduciary assets separate from other assets?
- 12 C.F.R. § 150.260How may I invest funds of a fiduciary account?
- 12 C.F.R. § 150.290What must I do with fiduciary funds awaiting investment or distribution?
- 12 C.F.R. § 150.300Where may I deposit fiduciary funds awaiting investment or distribution?
- 12 C.F.R. § 150.310What if the FDIC does not insure the deposits?
- 12 C.F.R. § 150.320What is acceptable collateral for uninsured deposits?
- 12 C.F.R. § 150.330Are there investments in which I may not invest funds of a fiduciary account?
- 12 C.F.R. § 150.340May I exercise rights to purchase additional stock or fractional shares of my stock or obligations or the stock or obligations of my affiliates?
- 12 C.F.R. § 150.350May I lend, sell, or transfer assets of a fiduciary account if I have an interest in the transaction?
- 12 C.F.R. § 150.360May I make a loan to a fiduciary account that is secured by an interest in the assets of the account?
- 12 C.F.R. § 150.370May I sell assets or lend money between fiduciary accounts?
- 12 C.F.R. § 150.380May I earn compensation for acting in a fiduciary capacity?
- 12 C.F.R. § 150.390May my officer or employee retain compensation for acting as a co-fiduciary?
- 12 C.F.R. § 150.400May my fiduciary officer or employee accept a gift or bequest?
- 12 C.F.R. § 150.410What records must I keep?
- 12 C.F.R. § 150.420How long must I keep these records?
- 12 C.F.R. § 150.430Must I keep fiduciary records separate and distinct from other records?
- 12 C.F.R. § 150.440When do I have to audit my fiduciary activities?
- 12 C.F.R. § 150.450What standards govern the conduct of the audit?
- 12 C.F.R. § 150.460Who may conduct an audit?
- 12 C.F.R. § 150.470Who directs the conduct of the audit?
- 12 C.F.R. § 150.480How do I report the results of the audit?