Trust Examination Manual

Manual

Section	Title	Last Updated
1	Management	06/2022
2	Operations, Controls and Auditing	05/2007
3 – Part I	Asset Management Part I: Investment Principles, Policies and Products	05/2005
3 – Part II	Asset Management Part II: Securities Transactions, Processing, and Administration	05/2005
4	Compliance/Account Administration – Personal and Charitable Accounts	05/2007
5	Compliance/Account Administration – Employee Benefit Accounts	04/2005
6	Account Administration Corporate Trust Accounts	05/2005
7	Compliance – Pooled Investment Vehicles	05/2005
8	Compliance/Conflicts of Interest, Self – Dealing and Contingent Liabilities	05/2005
9	Earnings, Volume Trends and Prospects	05/2005
10	Other Trust Matters	09/2009
11	Registered Transfer Agent Examination Manual	05/2005

Appendix	Title	Last Updated
A	Report of Examination Instructions – Not Available	Not Available
B	Examination Aids	05/2005
C	Fiduciary Law Excerpts or Digests of Applicable Laws, Regulations and Principles	10/2007
D	Securities Law Excerpts or Digests of Applicable Laws, Regulations and Principles	04/2008
E	Employee Benefit Law, Regulations, and Opinions – Not Available	Not Available
F	Corporate Trust Law Excerpts or Digests of Applicable Laws, Regulations and Principles	05/2005
G	Collective Investment Fund Law, Regulations and Opinions	05/2005
H	Glossary	05/2005