Trust Examiner School eBook

Item # Request Item Status Individual Responsible / Comment 1.01 Completed Officer’s Questionnaire (See ATTACHMENT 1) . Please provide a copy via Citrix FileShare. Maintain the original, signed copy and give to the examiner-in-charge when they arrive onsite. 1.02

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List of directors and officers. Include background information and year joined Board/company, year of birth, net worth and date of financial statement, and number of trust company shares owned. For officers only, include annual salary, bonus, and percentage of time devoted to the trust company. 1.03 Provide a current organization chart or similar information listing major areas of responsibility. 1.04 Provide biographical information on each new director elected since the most recent examination date, and the date elected to the board. Also, include biographical information and resumes on any new officers employed since the most recent examination. 1.05 Provide a current list of standing committees of the board, including authorized number of members, members, chairperson, secretary, fees paid, if any, to committee members, and frequency of meetings. 1.06 Provide copies of minutes and attachments for each Board meeting held since the start date of the last examination. 1.07 Provide copies of minutes and attachments for each Committee meeting held since the start date of the last examination. 1.08 Provide a copy of the minutes and attachments for the most recent annual shareholders' meeting. 1.09 1.10 Privacy policy and client disclosures, affiliated company, third-party relationship, and/or soft dollar disclosures. 1.11 Provide date that the company adopted the Statement of Principles of Trust Department Management. 1.12 Provide a copy of the company's Strategic Plan. 1.13 1.17

Policies and Procedures Manual. Indicate any policies and procedures that have been revised since the previous examination and the date of last approval. Include desktop procedures, when applicable.

Name of legal counsel. Include information regarding any litigation threatened or pending against the trust company since the prior examination. Include identification of the account(s) concerned, nature of, or basis for, the litigation, amount involved, present status of the action, and statement as to the probable outcome of the action, together with its cost to the trust company. 1.14 Copies of all written legal opinions obtained and filed since the prior examination in connection with trust account administration. 1.15 Copies of any communication with the DOL, SEC, IRS, or NASD for the trust company, its affiliates, or subsidiaries. 1.16

Copy of customer complaint log. Include the identification of the account(s) concerned, name of complainant, date of complaint, description of the complaint and resolution of the complaint. Organizational chart of trust company hierarchy including trust company, affiliates, parent company, and/or subsidiaries. Detail the manner of affiliation, scope of activities of each affiliate, and any filed or threatened litigation affecting any of the affiliates. 1.18 Provide copies of Corporate Governing Documents (Bylaws, Operating Agreements, Governing Documents, etc.) 1.19 Copy of the trust company's bylaws. 1.20 Copy of Code of Conduct and/or Ethics Policy. 1.21 Provide a copy of the Management/key employee Succession Plan.

MANAGEMENT