Operations Conference and Exhibit

More documents

Recommendations

Info

Opportunities •NSCC Rule 52 modified •ToRA – retirement accounts <strong>and</strong> liquidations only •Regulatory approval 30
ACATS Liquidations •Client wants entire account moved – liquidations are outside ACATS •Receiving firm can delete mutual funds from transferring •85% are ultimately liquidated •Average timeframe is 30 days 31
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 and 24: ACATS Mutual Fund Transfer Service
Page 25 and 26: Participants (target implementation
Page 27 and 28: Future phases •Fund-initiated in-
Page 29: Possible option 29
Page 33: Next steps •Regulatory approval v

Operations Conference and Exhibit

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?