Important Notices


    September 30, 2011

    DFI - Call Report - Third Quarter 2011

    TO THE MANAGERS OF ALL CALIFORNIA AGENCIES/BRANCHES OF FOREIGN BANKS:

    Dear Sir or Madam: 
    Please read this letter thoroughly for instructions on how to download, save and email the call report form and instructions from the DFI Web site.  If you do not have access to the Web, or cannot access the forms, contact Patrick Carroll at pcarroll@dfi.ca.gov or by telephone at (415) 263-8559 to make other arrangements.


    New this Quarter
    This is the last call report mailing that you will receive at this e-mail address.  Starting with the Fourth Quarter 2011 call report, mailings will be sent to the designated email address.

    Last year, Commissioner Haraf issued an order requiring that financial institutions provide a single, standard email address for each Licensee to receive communications from the DFI. The goal is to promote quick, direct communication to an email account that is monitored daily. The DFI relies on this designated email address to disseminate information, such as messages and orders from the Commissioner of Financial Institutions, consumer complaint information.  By integrating the designated email address with the mailing list, we hope to further improve communications with our licensees.


    General Instructions
    The procedure for filing the Report of Assets and Liabilities of U.S. Branches, FFIEC Form 002 has changed.  In the past, we requested  two hard copies of the form.  Banks having multiple agency or branch offices in California submitted two reports consolidating their California operations and two reports for each individual office.  For example, a foreign bank having offices in San Francisco and Los Angeles would submit a total of six forms.  Licensees were also able to email a PDF version of the Report of Assets and Liabilities in lieu of submitting hard copies.

    Starting with the Second Quarter 2011, it is no longer necessary to submit hard copies of the Report of Assets and Liabilities of U.S. Branches, FFIEC Form 002.  Please submit one copy of the form electronically in PDF format only.  Banks having multiple agency or branch offices in California should submit a report in PDF format consolidating their California operations and a reports for each individual office.  For example, a foreign bank having offices in San Francisco and Los Angeles would submit a total of three PDFs.  However, if you cannot submit the report in PDF you may continue to send hard copies.

    Some of the web links to download and save the forms and instructions have changed.  If you have saved those links to the Favorites Center on your Internet browser you may need to update them.

    Call Report Amendments 
    Foreign banks making revisions to the Report of Income or FFIEC call report should send a copy of the revisions to this office, and keep a copy in the call report file at the bank.  Foreign banks having more than one office should submit revised reports both for the affected office and on a consolidated basis.



    Certification Form
    A signed, executed Certification form in to be kept in the call report file at the branch or agency office together with a copy of the FFIEC Call Report. You can download the form in Adobe PDF format at http://www.dfi.ca.gov/forms/foreign/fbcer.pdf.  Or, to navigate to the form from the DFI Home page, www.dfi.ca.gov, click on the "Resources" tab, then click "DFI Forms", then click "Foreign (Other Nation) Bank Forms".  Scroll down the page and locate the link to the form Call Report Certification Page for Foreign Banks.
    To view and print the form you must first have installed the Adobe Acrobat Reader. The Reader can be downloaded free from the Adobe home page at www.adobe.com.  If you need assistance viewing and printing the form from our home page, contact Arlene Delacruz at (415) 263-8558 or by e-mail at adelacruz@dfi.ca.gov. Call report preparers without access to the Web may request hard copies of the form by calling Patrick Carroll at (415) 263-8559. Do not return the Certification Form to this office.


    Filing Instructions
    Both the FFIEC 002 forms and the Report of Income must be emailed to callreport@dfi.ca.gov by Monday, October 31, 2011.  Banks making revisions to the FFIEC call report should send a copy of the revisions to this office, and keep a copy in the call report file at the bank.  Foreign banks having more than one office should submit a revised report both for the affected office and on a consolidated basis.
     
    Please respond to the Department of Financial Institutions, San Francisco Office.  Please note our new address: 45 Fremont Street, Suite 1700, San Francisco, CA  94105-2219.  Questions regarding the completion of the required reports should be directed to our San Francisco office at (415) 263-8559 or by e-mail at pcarroll@dfi.ca.gov.

    Very truly yours,
    /s/
    PATRICK C. CARROLL
    Strategic Support Manager
    PCC