Trust Examiner School - September 2023

Internal Use Only

2. Client Directions

a. Purchase specific assets? Exclude specific assets or classes? ☐ Yes ☒ No If yes, please explain: b. Retain specific assets? ☐ Yes ☒ No If yes, please explain: c. Maintain a concentration in a specific asset or asset class? ☐ Yes ☒ No If yes, please explain: d. If yes to any of the above, is there sufficient documentation to protect the bank? ☐ Yes ☐ No ☒ N/A If no, please explain: a. Is transaction volume reasonable? ☒ Yes ☐ No If no, please explain: b. Are there assets in the account that are prohibited by the grantor or not on approved lists? ☐ Yes ☒ No If yes, please explain: c. If yes, has management approved and is management monitoring those assets? ☐ Yes ☐ No ☒ N/A If no, please explain: d. If management is not monitoring, was proper disclosure made to the client? ☐ Yes ☐ No ☒ N/A If no, please explain: e. Are all assets priced, and if not, is this disclosed to the client? ☒ Yes ☐ No If no, please explain:

3. Asset Review

Comments • Mr. Potter was formerly a partner of a subsidiary, The FIRM; fee discounted 35 bps and the minimum fee waived • Living children: Jackson W. Potter, Elizabeth A. Potter Documentation Exceptions • None noted