Trust Examiner School eBook

Compliance (Trust)

48. Describe the methods and information you use to identify and monitor potential conflict of interest and self-dealing situations.

[Type Management Response Here]

49. A list of accounts holding stock or other obligations of the institution, parent, or affiliates, sorted by account type. Indicate whether stock or debt, book and market value, and (if acquired since last examination) date and manner of acquisition.

[Type Management Response Here]

50. A list of accounts holding stock or debt of entities related to or associated with directors, officers or employees. Indicate whether stock or debt, book and market value, and (if acquired since the last examination) date and manner of acquisition.

[Type Management Response Here]

51. If you or your subsidiaries receive any fees (e.g. 12b-1, shareholder servicing, sub transfer agent, or shelf space) from affiliated or not affiliated mutual funds provide the following: a list of the mutual funds paying the fees, the fee rate paid, the entity receiving the fee, the type of fee paid, the amount of trust account assets invested in each fund, and the total amount of fees received.

[Type Management Response Here]

52. A copy of your ethics policy and the most recent ethics disclosure prepared by senior management. Describe how the policy is disseminated to employees. Indicate whether your employees receive formal ethics training and, if so, include the frequency of the training.

[Type Management Response Here]

53. A copy of advertisement material published by, used by, or on your behalf from end of last examination to present that advertise your services and products.

[Type Management Response Here]

54. Describe process of review of accounts before acceptance and post acceptance. Also, describe the annual review process for discretionary account, specifically the tracking system in place to monitor the investment review and how the exception tracking process provides follow up and resolution of exceptions.

[Type Management Response Here]