Operations Conference and Exhibit

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Phase 1 •A translation service between ACATS, ACATS Fund/SERV, ToRA <strong>and</strong> Fund/SERV •DTCC live January 2009 •2 scenarios - firm initiated transfer to <strong>and</strong> from Fund Company "in kind" •Concept paper available at: http://www.dtcc.com/products/documentation/cs/acats/AutomatingTran sferswMFConcept.doc •Best Practices User Guide will also be posted on DTCC website shortly 24
Participants (target implementation dates) Firms Edward Jones - LIVE Morgan Stanley - LIVE Merrill Lynch – May Funds PFPC Funds (approx. 35 fund co.) - LIVE Fidelity Funds - June T. Rowe Price - June Pershing - July DST – July 24 UBS – September VanKampen - July Goldman Sachs - Sept Sungard – Q1 - 2010 25
Page 1 and 2: Operations Conference and Exhibit T
Page 3 and 4: Reengineering Account Transfers 350
Page 5 and 6: Reengineering Account Transfers Les
Page 7 and 8: Lessons Learned from Failing Firms
Page 9 and 10: Customer Complaints Quarterly meeti
Page 11 and 12: Customer Complaints- DRS Issue: DRS
Page 13 and 14: Customer Complaints - Insurance Com
Page 15 and 16: Customer Complaint Non-NSCC Transfe
Page 17 and 18: Cost Basis Brokers will be required
Page 19 and 20: Who needs to start passing basis Br
Page 21 and 22: Reengineering Account Transfers A R
Page 23: ACATS Mutual Fund Transfer Service
Page 27 and 28: Future phases •Fund-initiated in-
Page 29 and 30: Possible option 29
Page 31 and 32: ACATS Liquidations •Client wants
Page 33: Next steps •Regulatory approval v

Operations Conference and Exhibit

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