Trust Examiner School - September 2023

Risk Assessment Question-Answer Date Of Run : 08/03/2021

Time Printed : 11:01:15 AM

: : : : : 05/20/2020

Account Number Account Name Account Administrator Investment Officer Review date

Seq

Question/Answer

Ans Weightage

1

Capacity/Account Type Answer Given- Trustee - Revocable Trust

33

Ans Comment-

2

Investment Authority

Answer Given- Sole

71

Ans Comment-

3

Delegated/Directed Trusts (Excludes EB, IRA) Answer Given- N/A

0

Ans Comment-

4

Situs Answer Given- Continental US

56

Ans Comment-

5

Co-Trustee (Fiduciary accounts only) Answer Given- N/A

0

Ans Comment-

6

Does the account hold Life Insurance or Annuities? Answer Given- No

0

Ans Comment-

7

Does the account hold Notes/Mortgages/Leases? Answer Given- No

0

Ans Comment-

8

Does the account hold Real Estate? Answer Given- None

0

Ans Comment-

9

Does the account hold any LLCs, LLPs or FLPs? Answer Given- Yes

100

Ans Comment-

10

Does the account hold Closely Held Stock? Answer Given- No

0

Ans Comment-

11

Does the account hold not publicly traded Natural Resources? Answer Given- No

0

Ans Comment-

12

Does the account hold any tangible personal property? Answer Given- No

0

Ans Comment-

13

Is the account being used as collateral at another institution? Answer Given- No

0

Ans Comment-

14 After a review of transactions for the review period; Do we have direction on file (signed direction, e-mail, fax or text) and properly documented call back verification? Answer Given- Yes

11

Ans Comment-

Regulatory Reviews Packet

4

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