Trust Examiner School eBook

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State Charter No.: Institution Name: Financial Date:

TRUST EXAMINATION REQUEST LIST TRUST ONLY INSTITUTION

This information request will help facilitate your upcoming trust examination. Please complete each item by providing thorough, narrative responses in the space at the end of each section or by providing documents attached and labeled. An officer of the institution should review and confirm that all responses are complete and accurate.

Management

1. Provide the following information for account selection.

 Trial Balance. List of all account relationships. This report should identify each individual account by number and name with cash and asset totals indicated for each. Accounts should be in numerical order by type with subtotals of cash and asset columns for each account type and an overall total for same. The report should also be presented with market values indicated.  Large balance report. List of all accounts with uninvested cash in excess of a predetermined minimum generally $1M. Capacity and officer codes should be indicated.

2. Complete the attached forms listed here with a date no earlier than DATE .

 Officer’s Statement of Fiduciary Assets and Liabilities  Officer’s Statement of Corporate Assets and Liabilities  Bank Secrecy Act Officer’s Questionnaire  Office of Foreign Asset Control (OFAC) Questionnaire  Trust Officer’s Questionnaire

 Emergency Contact Information Form  Officers and Directors Biographical Form

3. Provide an organizational chart of the Trust Company. Include a list of offices in which trust or wealth management activities are conducted. Include dual employees from any affiliates and show the percentage of time they represent the trust area and include them on the organizational chart and any compensation they received that is charged to trust. Describe the involvement of the Board of Directors in establishing business goals, reviewing actions and decisions of officers and committees, and ensure compliance with applicable law.

[Type Management Response Here]

4. A list of all senior officers showing title and principal duties, year of birth, current annual salary, prior fiscal year’s salary earned, prior fiscal year’s bonus paid, and percentage of time

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