Trust Examiner School eBook

TRUST DEPARTMENT REQUEST LIST

42.02

Lists of the following: (a) liabilities within accounts, such as borrowings, indicating the dollar amount of assets pledged by the account, if any, to collateralize such liabilities (b) terminated accounts that have not been distributed, including reasons (c) watch-listed accounts (d) estates that remain open for a period exceeding 18 months and where the institution has not filed an accounting (e) accounts for which accountings have not been filed with courts, beneficiaries, or other parties holding authority to release the bank from liability X A copy of the bank and/or department's Privacy Policy and customer disclosures.

42.03

42.04

An Excel spreadsheet of all trust customer account and asset information, including the following columns of information, if applicable: (a) branch code

(b) account number (c) account type code (d) short name (e) date account opened (f) administrative officer (g) investment officer (h) account capacity (i) investment authority (j) investment objective (k) CUSIP (l) asset description (m) acquisition date (n) location code (o) class code (p) units (q) carrying value or tax cost

(r) market value (s) pricing date

OPERATION/AUDITS Item # Onsite

Item Description

43.01

Workpapers for the preparation of RC-T.

3