Trust Examiner School eBook

Item # Request Item Status Individual Responsible / Comment 4.01 Provide a copy of the corporate Capital Policy and include the date of the annual assessment of the corporate capital level by the Board.

Page 6

4.02 Provide a copy of the corporate Liquidity Policy and include the dates of the quarterly assessments of the corporate liquidity level by the Board. 4.03 Provide a copy of the corporate Investment Policy. 4.04 Provide documentation outlining investment authority for the corporate securities portfolio.

4.05 Provide a list of the corporate securities portfolio as of the Financial Review Date. Include par value, market value, maturity, credit rating, and CUSIP. 4.06 Provide detailed list of funds transferred/paid/up streamed/down streamed to the holding company and/or affiliates since the prior exam. 4.07

Provide information about the company's stock, including current dividend, the date of the last sale of stock, the number of shares sold, and the execution price. 4.08 Provide account statements showing capital balances for prior year-end and the Financial Review Date, if different dates. 4.09 Provide details pertaining to all insurance carried by the trust company. Comments:

CAPITAL