Trust Examiner School eBook

Item # Request Item Status Individual Responsible / Comment 5.01

Page 7

Provide a list and description of any receipt of sweep fees. Provide documentation of client approval to use their accounts in such arrangements, indicate if ERISA accounts are charged sweep fees, and state procedures used to inform clients of the dollar value of sweep fees earned against their accounts. 5.10 Provide a list of officer/employees’ personal security transactions aggregating to more than $10,000 since the prior examination. 5.11 Provide the Regulation R calculation for both the current and prior calendar year. Comments:

Provide a list of accounts that hold stock or obligations of own trust company. Include the total number of shares voted at the last stockholders' meeting, the number of shares voted by management, the date of the latest review by the responsible committee, and policies and procedures governing own institution holdings. 5.02 Provide a list of accounts pledged as collateral for borrowings. 5.03

Provide a list of trust assets the company is responsible for, but the assets are not in its possession. Include where the assets are held and the reason, the name of the account owning the assets, and the name and listed value of the asset. Exclude assets held at Depository Trust Company or a correspondent bank. 5.04 Provide a list of estates in the process of administration. Include the expected fee to be received and the anticipated closing date of each estate. 5.05 Provide a list of brokers providing any soft dollar services and amounts received. 5.06 For directors, officers, or employees, provide a list of their direct obligations held in any account that receive special or preferential treatment. 5.07 For directors, officers, or employees, provide a list of holding of stock and/or obligations of their corporations held in any account. 5.08 For directors, officers, or employees, provide a list of fiduciary accounts for which they serve as co-fiduciary. 5.09

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