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Important Notices

July 9, 2007

DFI - Second Call 2007

Please read this email 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.

Downloading the Report of Income

1. Open your Web browser to: http://www.dfi.ca.gov/forms/foreign/foreignforms.asp . Or, to navigate to the form from the DFI Home page, www.dfi.ca.gov, click on the “Forms” link in the right-hand navigation bar under the heading “Online Resources” then click “Foreign (Other Nation) Bank Forms.”
2. Scroll down the page and locate the link to the following form in Excel format. For your convenience, the link to the form is http://www.dfi.ca.gov/forms/foreign/Form523.xls
3. Click on the link to the form. If the file/download box appears on your screen, click the open button to open the form.
4. Enter the license number in the appropriate place on the report. For your convenience, a list of Department of Financial Institutions license numbers may be found at http://www.dfi.ca.gov/directory/fbc.asp.
5. Complete filling in the form. Name it Form523.xls and save it to a familiar location on your computer.
6. Email the completed form as an attachment to callreport@dfi.ca.gov on or before Tuesday, July 31, 2007. It is not necessary to submit hard copies of the forms. Please put the name of your institution and the call report date in the subject line of your message. It is not necessary to submit hard copies of the forms.

Completing the Report of Income

The link to the instructions for the preparation of the form are http://www.dfi.ca.gov/forms/foreign/Form523Instructions.pdf

Signature Requirements

Although agencies and branches of foreign banks may now send in their Reports of Income as email attachments instead of as hard copies, a signed, executed hard copy of each call report form must be kept in a file at the bank. This file must be available upon request to examiners during the course of an examination.

FFIEC Form 002 Report of Assets and Liabilities of U.S. Branches

Please also submit two hard copies of the June 30, 2007 Report of Assets and Liabilities of U.S. Branches, FFIEC Form 002. Banks having multiple agency or branch offices in this state must submit 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 may also email a PDF version of the Report of Assets and Liabilities in lieu of submitting hard copies.

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 here: 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 “Forms” link in the right-hand navigation bar under the heading “Online Resources,” 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.

General Instructions

Both the FFIEC 002 forms and the Report of Income must be received in this office by Tuesday, July 31, 2007. 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.

Respond to the Department of Financial Institutions, 111 Pine Street, Suite 1100, San Francisco, CA 94111-5613. 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,

PATRICK C. CARROLL
Strategic Support Manager