2022 Trust Examiner School - Presentations

Internal Use Only

Compliance

• Policies & procedures • Account opening & closing procedures • Bank Secrecy Act/Anti-Money Laundering (BSA/AML) • Laws & regulations • 12B-1 fees • Insiders

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Internal Use Only

Self-Directed IRAs Regional Director Memorandum 98-058 June 23, 1998

Three minimum disclosures: • Not insured by the FDIC

• Not a deposit or obligation of, or guaranteed by, the institution • Subject to investment risks, including possible loss of principal

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