Trust Examiner School eBook

Agency

Account Name:

Bank Name:

Account Number:

Examiner:

Administrative Officer:

Exam Start Date:

Total Assets (MV):

Reviewed as of date:

Date of last administrative review: Adequate CIP/BSA/AML/OFAC?

Date of last investment review:

Securities Transactions: Reg R/GLBA, Part 344, Trading Errors? Corporate actions?

Governing Instrument:  Custody  Escrow  Safekeeping

 Investment Management  Investment Advisory  Other

Date of Governing Instrument: System Records:

1. Is synoptic record accurate? 2. Is the account coded correctly? 3. Are there appropriate ticklers; and are they accurate? 4. Other: Shareholder Communication Act Disclosure: 1. Proxy Voting /Proxy Material – Bank, client or client option? 2. Share Clients Name with Issuer – do not share, share or client option? 3. System Coding? Documentation of Client Contact: 1. Last formally documented contact: 2. Does this conform to department policy? 3. Does documentation of client directions for disbursements conform to policy/agreement? 4. Other: Conflicts of Interest: 1. Sweep products – are the following disclosed or not applicable (if answer is no, there could be a problem) a. Shareholder Service Fees? b. 12b-1 fees? 2. Is the use of Own-bank Savings and Time Deposits appropriate (only applicable to Investment/Discretionary? 3. Soft Dollars – Adequately disclosed? Best Execution? 4. Other:

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FDIC 6350/50 (10-12)