DBO - Quarterly Report - First Quarter 2017
March 30, 2017
Subject: FIRST QUARTER 2017 REPORT TO THE SENIOR TRUST OFFICER OF ALL NATIONAL
BANKS, FEDERAL SAVINGS BANKS, AND FOREIGN (OTHER STATE) BANKS AUTHORIZED TO ENGAGE IN TRUST BUSINESS IN CALIFORNIA (“REPORTING INSTITUTIONS”)
Dear Sir or Madam:
Please read this email thoroughly for instructions on how to download and save the First Quarter 2017 report forms and instructions from the DBO website. If you have issues with accessing, inputting to or emailing the forms, please contact Patrick Carroll at email@example.com or by telephone at (415) 263-8559 to make other arrangements. The DBO does not mail out hard copy report forms and diskettes. Instead, reporting institutions may download, store, and print the call report forms in Excel format from the DBO web page. Some of the web links to download and save the forms and instructions have changed. If you have saved those links to “Favorites” on your Internet browser, you may need to update them. Also please note that while the electronic version of the Schedule U may be emailed, submission of the signed hard copy via U.S. postal mail is still required.
Downloading Schedule U
- Open http://www.dbo.ca.gov/forms/national/default.asp in your web browser. To navigate to the form from the DBO home page, www.dbo.ca.gov, hover your cursor over “Publications”, then scroll down to the heading "Division of Financial Institutions" and click “Forms and Applications,” then click “National banks, federal savings banks, and foreign (other state) banks authorized to engage in trust business in California.”
- Scroll down the page and locate the link to the following form in Excel format. For your convenience, the link to the form is www.dbo.ca.gov/forms/national/Schedule_U.xls.
- Click on the link to the form.
- If the file/download box appears on your screen, click the “Open” button to open the form.
- Enter the "Department of Business Oversight number" in the appropriate place on the report. For your convenience, a list of Department of Business Oversight numbers is attached.
- Complete filling in the form. Name it Schedule U.xls and save it to a familiar location on your computer. Print out a hard copy of the forms and retain it for your files.
Completing Schedule U
A link to the instructions is provided below: www.dbo.ca.gov/forms/national/Instructions_for_Completion_of_Schedule_U.pdf. Please contact Thomas Egu at (213) 897-2170 or by email at firstname.lastname@example.org or Cecilia Fuentes at (213) 897-5345 or by email at email@example.com with any questions about completing these reports.
Submitting Schedule U
Every institution has a "Department of Business Oversight (DBO) file number" which should be entered in the appropriate place on the report. For your convenience, a list of DBO numbers is attached. Institutions that formerly reported on Schedule T please notice that a new file number has been issued your institution for reporting on Schedule U. Do not use the number that you formerly used for reporting on Schedule T.
Send the completed report as an email attachment to firstname.lastname@example.org. Please put your institution name and call date in the subject line of the message. The report must be emailed by Monday, May 1, 2017. Keep a copy of the signed, executed report in a file at the institution. The file must be available upon request to examiners during the course of a trust examination.
Schedule U is in an Excel format that is to be filed electronically AND in hard copy.
Hard copies of reports that are sent back to this office must be signed and executed by the two certifying officers. In addition, a copy of the signed, executed document must be kept in a file at the institution.
Institutions making revisions to the report must send a signed and executed copy of the revisions to this office, as well as filing a copy of the revisions in the report file at the bank.
We appreciate your cooperation in furnishing us with accurate information in a timely manner.
Very truly yours,
JAN LYNN OWEN
Commissioner of Business Oversight
PATRICK C. CARROLL
Strategic Support Manager