Trust Examiner School eBook

Bank Sponsored Employee Benefit Plans 56. With respect to own bank, holding company, or subsidiary employee benefit plans carried within the department, please supply: a) the plan document and trust agreements, if new since the previous examination;

b) amendments made to the plan since the last examination; c) the Form 5500 filed since the previous examination; d) the last year-end and most recent listing of assets; e) all audits conducted since the last examination; f) trustee and/or plan administrator committee minutes;

g) information packet, initial and continuing education, provided to participants; and h) last investment analysis on reasonableness of available investment options.

Corporate Trust Accounts 57. Provide a list of transfer agent and/or registrar appointments. 58. Provide a list of transfer agent and/or registrar accounts that are out of proof. 59. List corporate trusteeship appointments. Please provide: a) face value of bonds originally issued; b) face value currently outstanding; and c) whether any appointment is subject to the Trust Indenture Act of 1939. 60. Provide a list of all corporate trusteeships that are in default. Please indicate: a) the date and nature of default; b) actions taken by the institution; c) current status; and d) face value of bonds outstanding. 61. Provide a list of corporate trusteeships that are receiving special administrative attention, and those in which obligors have not complied with indenture requirements.

Other Activities 62. If the department engages in customer securities lending activities, please provide the following:

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