Trust Examiner School eBook
TRUST DEPARTMENT REQUEST LIST
ASSET MANAGEMENT Item # Onsite
Item Description
44.01
A copy of the following: (a) a list of approved investments (buy/sell list), including mutual funds and cash equivalents (b) details of any asset allocation models and/or screening criteria used to select investments (c) investments on any internal Watch List
44.02
Describe the investment objective selection process.
44.03
Reports used to oversee the investment function, including performance.
44.04
A list of voting securities held in discretionary fiduciary accounts where the department holds, in the aggregate: (a) 5% or more of the outstanding class of securities (if securities are registered pursuant to Section 12 of the Securities Exchange Act of 1934) (b) 25% or more of the outstanding class of securities, if not registered under Section 12 The following information on broker relationships: (a) a list of brokers utilized and broker fees and commissions paid last year and year-to-date
44.05
(b) the last formal analysis of broker relationships (c) procedures followed to assure best execution
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