Trust Examiner School eBook

PRE - EXAMINATION PLANNING (PEP) MEMORANDUM

Name of Financial Institution

Location (City, State)

Certificate Number

EIC/Prepared By: As of: Start: Estimated End: Estimated Hours:

PEP DATA Current Examination Date Prior Examination Date Prior Examination Date

MOECA Rating IT Rating Total Assets Under Administration Gross Income Total Capital (if applicable)

PRELIMINARY RISK ASSESSMENT

 Provide a brief description of the institution's business model, risk profile, and complexity.  Summarize discussions held with institution management and case manager.  Briefly comment on risk for each examination area.  Discuss planned procedures and workpaper documentation, commensurate with the risk presented for each examination area. Trust Examination Scope:

Information Technology Scope: