Trust Examiner School eBook

TRUST DEPARTMENT REQUEST LIST

Institution: Examination Date:

Please provide copies of the following items as of XXX, unless otherwise indicated. Items marked as "Onsite" should be retained in your offices for examiner review during the on-site portion of the examination. The remaining items should be furnished to examiners by XXX. For documents that are too long for convenient copying, please provide originals for examiner review at the institution. Clearly identify all items that should be returned to bank personnel.

REGULATORY AND LEGAL INFORMATION Item # Onsite Item Description 41.01

Trust Officer's Questionnaire (form provided), certified by the senior trust officer or other senior bank officer as of XXX. Current trust department statement of assets and liabilities or trust department statement of condition, at market value. Copy of the department's compliance program, or a summary of management's plans for compliance, designed to demonstrate your institution's compliance with SEC Regulation R - Exemptions and Definitions Related to the Exceptions for Banks from the Definition of Broker. This regulation is the set of rules which implements the bank broker exceptions in Section 3(a)(4) of the Exchange Act and involves all areas of the bank that effect security transactions. Copy of any communication with the Department of Labor, Securities and Exchange Commission, Internal Revenue Service, or National Association of Securities Dealers for the bank, its subsidiaries, or affiliates, since the previous examination. Indicate if legal counsel is retained on an on-going basis to advise the Board of Directors, the Trust Committee(s), and the trust officer(s) on legal matters pertaining to fiduciary administration. Indicate if written legal opinions are obtained and filed in connection with legal questions arising during the course of an account's administration.

41.02

41.03

41.04

41.05

MANAGEMENT Item # Onsite

Item Description

41.06

Organization chart of the department.

41.07

The Minutes of the Board of Directors and/or trust committee(s) pertaining to trust activities since the last examination (State or FDIC). Summary of insurance policies currently carried to cover fiduciary activities, including coverage for real estate properties held in trust.

41.08

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