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OTS Examination Handbook: Management

NumberIssue DateTitle
EH 31001/2009Oversight by the Board of Directors
EH 310p04/2011Program
EH 310q01/2009Questionnaire
EH 310aa01/2009Appendix A: Board of Directors Self Assessment
EH 33011/2004Management Assessment
EH 330p04/2011Program
EH 330q11/2004Questionnaire
EH 34010/2009Internal Control
EH 340p04/2011Program
EH 340aa10/2009Appendix A: Questionnaires
EH 34110/2008Information Technology Risks and Controls
EH 341p04/2011Program
EH 35007/2002External Audit
EH 350p04/2011Program
EH 350aa02/2002Appendix A: Audit-Related Report Checklist
EH 350ab02/2002Appendix B: Comparison of OTS and FDIC Annual External Audit Requirements
EH 350ac02/2002Appendix C: Interagency Policy Statement on External Auditing Programs of Banks and Savings Associations
EH 350ad02/2002Appendix D: Sample Letter to Request Audit Work Papers
EH 350ae02/2002Appendix E: Sample Letter from Accounting Firm
EH 35502/2002Internal Audit
EH 355p04/2011Program
EH 355q02/2002Questionnaire
EH 355aa02/2002Appendix A: Interagency Policy Statement on the Internal Audit Function and Its Outsourcing
EH 355ab02/2002Appendix B: Internal Auditor Questionnaire
EH 36005/2010Fraud and Insider Abuse
EH 360p04/2011Program
EH 360aa05/2010Appendix A: Fraud Risk Evaluation Form
EH 360ab05/2010Appendix B: Questions and Answers - Examination Obstruction
EH 38002/2006Transactions with Affiliates
EH 380p02/2006Program
EH 380aa02/2006Appendix A: Regulation O Summary of Reporting/Recordkeeping Requirements