Operations Conference and Exhibit

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Re-engineering Account Transfers Agenda Lessons learned from failing firms Customer Complaint review Passing Cost Basis exp<strong>and</strong>ed New Service, Mutual Funds A Review of the proposed Liquidation process What’s next ? 4
Reengineering Account Transfers Lessons learned from failing firms 5
Page 1 and 2: Operations Conference and Exhibit T
Page 3: Reengineering Account Transfers 350
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 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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