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Trust Examination Manual

Table of Contents

Section 1 Management
Section 2 Operations, Controls and Auditing
Section 3 Part 1 - Asset Management
Part 2 - Securities Transactions, Processing and Administration
Section 4 Compliance/Account Administration - Personal and Charitable Accounts
Section 5 Compliance/Account Administration Employee Benefit Accounts
Section 6 Account Administration Corporate Trust Accounts
Section 7 Compliance - Pooled Investment Vehicles
Section 8 Conflicts Of Interest, Self-Dealing and Contingent Liabilities
Section 9 Earnings, Volume Trends and Prospects
Section 10 Other Trust Matters
Section 11 FDIC:Registered Transfer Agent Examination Manual

Appendices

Appendix A Report of Examination Instructions - Not Available
Appendix B Examination aids
Appendix C Fiduciary Law excerpts or digests of applicable laws, regulations and principles
Appendix D Securities Law excerpts or digests of applicable laws, regulations and principles
Appendix E Employee benefit law, regulations, and opinions
Appendix F Corporate trust law excerpts or digests of applicable laws, regulations and principles
Appendix G Collective investment funds law, regulations and opinions
Appendix H Glossary