Trust Examiner School eBook

a) The shareholder’s full name(s), shareholder’s address, and number of shares owned. If the trust company is owned by a holding company, provide certified shareholder’s listings for both the trust company and the holding company.

b) Trust Company common shares outstanding/authorized: c) Trust Company preferred shares outstanding/authorized:

d) Holding company common shares out/authorized: e) Holding company preferred shares out/authorized: f) Total number of shareholders of the trust company_________. Total number of shareholders of the holding company__________, if applicable. g) A list of any individuals, corporations, or other entities, that own, control, or have the power to vote 5% or more of the institution’s stock, or the holding company’s stock, if applicable.

[Type Management Response Here]

19. A copy of your pipeline (new business report). Describe the process management uses to track potential accounts added to its pipeline report. Also, describe the requirement to remove accounts from this report and document control for unapproved accounts.

[Type Management Response Here]

20. A list of all products or services introduced after the end of the last examination.

[Type Management Response Here]

Operations

21. Describe the process used to ensure that account assets are physically segregated from the assets of the institution and that account assets are maintained under an effective system of dual custody and control.

[Type Management Response Here]

22. A list of account assets on the accounting records that are not in your possession and assets that are in your possession but not entered on individual account records. Include off-balance sheet assets and items held for clients as a courtesy. Exclude normal deliveries and exchanges.

[Type Management Response Here]

23. A reconcilement of total assets held (stocks, bonds, cash, etc.) to total account balances (personal trust, estates, employee benefit accounts, etc.) using the examination “as of” date.

[Type Management Response Here]

24. Month-end reconcilements of your own demand and time deposit accounts for the three months preceding the examination date.