Trust Examiner School eBook

39. Describe all payments, since the last examination, of soft dollars to securities brokers and dealers. Please state if written policies have been adopted to ensure compliance with the safe harbor provisions of Section 28(e) of the Securities Exchange Act of 1934. 40. List appointments where the institution has sole or joint responsibility for assets that are not in its possession, or those over which accounting control has not been established. 41. If the bank operates common or collective investment funds or other pooled investment vehicles, provide for each fund: a) if a new fund has been established or a previously established fund has been closed since the last FDIC examination, the rationale and analysis supporting the decision to open or close the fund; b) a copy of any amendments to governing instruments since the previous examination; c) a list of all participants, providing detail and summary totals for: number of participants, units held, and cost of units held; d) a copy of the last valuation for each fund; e) a copy of each fund's last annual report; and f) a list of assets held by each fund as of the last valuation date. 42. Provide a list of voting securities held in discretionary fiduciary accounts where the department holds, in the aggregate: a) 5% or more of the outstanding class of securities (if securities are registered pursuant to Section 12 of the Securities Exchange Act of 1934); and b) 25% or more of the outstanding class of securities, if not registered under Section 12. 43. Provide the following with respect to own bank, parent, or affiliate stock and/or obligations: a) a list of discretionary fiduciary accounts that hold such securities and/or obligations, together with the number of shares and/or face value of obligations held ( include all shares held in any account, including custodial and safekeeping, if management holds or exercises voting authority ); b) total number of shares held in all trust department accounts that were voted by management at the last stockholders meeting;

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