Trust Examiner School eBook

Page 9

Provide a list of voting securities held in accounts where the trust company holds in the aggregate a) 5 percent or more of the outstanding class of securities (if securities are registered pursuant to Section 12 of the Securities Exchange Act of 1934) and b) 25 percent or more of the outstanding class of securities, if not registered under Section 12 of the Securities Exchange Act of 1934.. Provide information regarding receipt of fees from 12b-1, shareholder servicing, recordkeeping, or any other arrangements with mutual fund companies. Include copies of written solicitations for client approval to use their accounts in such arrangements, indicate if ERISA accounts are charged these fees, and state what procedures are followed to inform clients of the dollar value of these fees earned against their accounts.

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