Trust Examiner School eBook

TRUST DEPARTMENT REQUEST LIST

BANK SPONSORED EMPLOYEE BENEFIT PLAN Item # Onsite Item Description 46.06

With respect to own bank, holding company, or subsidiary employee benefit plans carried within the department: (a) the plan document and trust agreements, if new since the previous examination (b) amendments made to the plan since the last examination (c) last Form 5500 filed (d) the last year-end and most recent listing of assets (e) last audit, if applicable (f) results of last compliance testing (g) a listing of participant loans including participant name and title, origination date, maturity date, interest rate, original amount, level payment amount, date of last payment, and current balance (h) trustee and/or plan administrator committee minutes (i) information packet and initial and continuing education provided to participants (j) last investment analysis on reasonableness of available investment options (k) copy of summary plan description (SPD) (l) review of the covered service provider disclosure (ERISA 408 (b)(2)) (m) information provided to participants to comply with ERISA 404a-5, if applicable (n) for ESOP, provide last valuation of stock not publically traded (o) for leveraged ESOP, note, security agreement, and loan agreement

EMPLOYEE BENEFIT PLANS Item # Onsite Item Description 46.07 X

Copy of float disclosures.

46.08

X If third party administrator services are offered, please provide a list of accounts, a copy of the governing agreement, and the most recent audit (if not included with other audits submitted).

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