Trust Examiner School - September 2023

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

Time Printed : 11:01:15 AM

Account Number Account Name Account Administrator Investment Officer Review date

: : : : : 05/20/2020

Seq

Question/Answer

Ans Weightage

15 Does the account adhere to company policy (managed accounts only) - Concentrations, allocation, performance, approved assets? Answer Given- N/A or Yes

0

Ans Comment-

16

Is there currently any litigation occurring in this account? or potential for litigation? Answer Given- No current or potential litigation

0

Ans Comment-

17

What is the BSA Risk for this account? Answer Given- MINIMAL

11

Ans Comment-

Score:

17

Regulatory Reviews Packet

5

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