Trust Examiner School eBook

TRUST DEPARTMENT REQUEST LIST

COMMON FUNDS Item # Onsite

Item Description

46.09

X

For each common or collective investment fund or other pooled investment vehicle provide: (a) if a new fund has been established or a previously established fund has been closed since the last examination, the rationale and analysis supporting the decision to open or close the fund (b) a copy of any amendments to governing instruments since the previous examination (c) a list of all participants, providing detail and summary totals for the number

of participants, units held, and cost of units held (d) a copy of the last valuation for each fund (e) a copy of each fund's last annual report (f) a list of assets held by each fund as of the last valuation date

CORPORATE TRUST ACCOUNTS Item # Onsite Item Description 46.10 X

A list of transfer agent and/or registrar appointments.

46.11

X A list of corporate trusteeships that are receiving special administrative attention and those in which obligors have not complied with indenture requirements. A list of all corporate trusteeships that are in default, including the following: (a) the date and nature of default (b) actions taken by the institution (c) current status (d) face value of bonds outstanding X

46.12

46.13

X

A list of corporate trusteeship appointments, including the following: (a) face value of bonds originally issued (b) face value currently outstanding (c) whether any appointment is subject to the Trust Indenture Act of 1939

46.14

X

A list of transfer agent and/or registrar accounts that are out of proof.

INDIVIDUAL RETIREMENT ACCOUNTS Item # Onsite Item Description 46.15 X Copy of prototype documents.

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