March 2019
OTS Examination Handbook: Management
This publication is part of:
Collection: Comptroller's Handbook
| Number | Issue Date | Title | Rescinded Date | Comment |
|---|---|---|---|---|
| EH 310 | 01/2009 | Corporate Governance and Oversight by the Board of Directors | 07/29/2016 | Replaced4by Comptroller's Handbook -Corporate and Risk Governance |
| EH 310p | 04/2011 | Program | 07/29/2016 | Replaced4by Comptroller's Handbook -Corporate and Risk Governance |
| EH 310q | 01/2009 | Questionnaire | 07/29/2016 | Replaced4by Comptroller's Handbook -Corporate and Risk Governance |
| EH 310aa | 01/2009 | Appendix A: Board of Directors Self Assessment | 07/29/2016 | Replaced4by Comptroller's Handbook -Corporate and Risk Governance |
| EH 330 | 11/2004 | Management Assessment | 07/29/2016 | Replaced4by Comptroller's Handbook -Corporate and Risk Governance |
| EH 330p | 04/2011 | Program | 07/29/2016 | Replaced4by Comptroller's Handbook -Corporate and Risk Governance |
| EH 330q | 11/2004 | Questionnaire | 07/29/2016 | Replaced4by Comptroller's Handbook -Corporate and Risk Governance |
| EH 340 | 10/2009 | Internal Control | ||
| EH 340p | 04/2011 | Program | ||
| EH 340aa | 10/2009 | Appendix A: Questionnaires | ||
| EH 341 | 10/2008 | Information Technology Risks and Controls | 05/17/2012 | Replaced4by Comptroller's Handbook -Community Bank Supervision, andLarge Bank Supervision |
| EH 341p | 04/2011 | Program | 05/17/2012 | Replaced4by Comptroller's Handbook -Bank Supervision Process,Community Bank Supervision, andLarge Bank Supervision |
| EH 350 | 07/2002 | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits | |
| EH 350p | 04/2011 | Program | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 350aa | 02/2002 | Appendix A: Audit-Related Report Checklist | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 350ab | 02/2002 | Appendix B: Comparison of OTS and FDIC Annual External Audit Requirements | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 350ac | 02/2002 | Appendix C: Interagency Policy Statement on External Auditing Programs of Banks and Savings Associations | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 350ad | 02/2002 | Appendix D: Sample Letter to Request Audit Work Papers | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 350ae | 02/2002 | Appendix E: Sample Letter from Accounting Firm | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 355 | 02/2002 | Internal Audit | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 355p | 04/2011 | Program | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 355q | 02/2002 | Questionnaire | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 355aa | 02/2002 | Appendix A: Interagency Policy Statement on the Internal Audit Function and Its Outsourcing | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 355ab | 02/2002 | Appendix B: Internal Auditor Questionnaire | 12/30/2016 | Replaced4by Comptroller's Handbook –Internal and External Audits |
| EH 360 | 05/2010 | Fraud and Insider Abuse | ||
| EH 360p | 04/2011 | Program | ||
| EH 360aa | 05/2010 | Appendix A: Fraud Risk Evaluation Form | ||
| EH 360ab | 05/2010 | Appendix B: Questions and Answers - Examination Obstruction | 09/30/2019 | Replaced4- See OCC 2019-44 |
| EH 380 | 02/2006 | Transactions with Affiliates and insiders | The section titled "Transactions with Insiders" from page 380.19-30 is Replaced4by Comptroller's Handbook -Insider Activitiesas of 11/06/2013. | |
| EH 380p | 02/2006 | Program | The procedures on "Transactions with Insiders" are Replaced4by Comptroller's Handbook -Insider Activitiesas of 11/06/2013. | |
| EH 380aa | 02/2006 | Appendix A: Regulation O Summary of Reporting/Recordkeeping Requirements | 11/06/2013 | Replaced4by Comptroller's Handbook -Insider Activities |
The reason each document is rescinded is noted as one of the following:
1
Outdated – The document is no longer needed. Any attachments to the document are rescinded only as they relate to national banks and federal savings associations.
2
Duplicative – The document transmitted interagency guidance that was issued jointly with the OCC. The rescission applies to the transmitting document only and not the attached interagency guidance. Thrifts are directed to use the OCC-issued document.
3
Conveyance – The document is a cover letter that merely conveyed another document. The rescission does not change the applicability of the conveyed document. To determine the applicability of the conveyed document, please refer to the original issuer of the document.
4
Replaced – The document and any attachments are superseded by OCC guidance.