Trust Examiner School - September 2023

Review Questionnaire Date of Run : 08/03/2021 Account Number : 1-0991 Account Name : Account Administrator :

Time Printed : 11:01:10 AM

Review date : 05/20/2020

Investment Officer : Account Administrator SL No. Questions

Ans(Y/N/NA) Answer Comments

Please attach the most recent Investment Charter. note: Date Signed and Objective. Has the Objective changed in the past 5 years. If so, please note the date of change and previous objective. Please describe any administrative items or any other accounts which much be considered affecting management of this account (client directions, unique assets, investment restrictions). Please describe plans (including dates) to resolve allocation, equity sector diversification, concentration, or non approved assets breaches, including actions taken in the past year. After a review of the cash and/or asset (free receipt/deliver) transactions for the last year, is there any evidence of unusual cash flow or other suspicious activity (excessive disbursements or unexplained deposits)? Explain any foreign transactions, excluding foreign tax withholding. Has the Risk Assessment Questionnaire been completed? You must Are the investments in the account suitable to the client/beneficiary of the client? If there are breaches, discuss progress towards resolution. If no progress, then bring to the Review Committee's attention. Is the account's performance in the 1, 3 and 5 year periods within an acceptable deviation from the appropriate blended benchmarks? If No, please discuss plans or progress towards resolution. Are you satisfied with the Administrative Officer's completion with this review? Are you satisfied with the Investment Officer's completion of this review? Are there actions you want to see taken in the next 12 months? No If Administrator has not completed Risk Assessment Questionnaire, flag review back before completing your portion of this review. Based on questions 2 and 3 above, discuss revisions to Risk Assessment question 15. Yes Yes Yes No Questions Yes No No No Yes No Yes Questions Are there any breaches? No

1

signed 2019, growth

2

changed from balanced to growth in 2016

3

4

n/a

5

yes

6

none

7

yes

Investment Officer SL No.

Ans(Y/N/NA) Answer Comments

1

Account is on a model and is well diversified using ETFs and the account is in line with its investment objectives.

2

3

Not Applicable

Account was recently added to the etf model due to the size and lack of diversification of the account. Will review performance next year.

Review Committee

SL No.

Ans(Y/N/NA) Answer Comments

1

2

3 4

Regulatory Reviews Packet

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