Service Requests New Proposal CSA Service Requests AA Service Requests Description: This workflow describes all the steps required to prepare and present a proposal to an existing client. In this scenario, typically the proposal has already been discussed with the client to some extent, and this is a matter of documenting and presenting the proposal to get the client’s sign-off to move forward with implementation. The presentation doesn’t necessarily require that you meet in person since in-person. This workflow differs from the Proposal Meeting workflow, which is typically reserved for a more formal meeting with a prospect. New Proposal CSA Service Requests AA Service Requests Process Checklist PREPARE ROLE STEP DETAILS/TIPS Associate Advisor Validate Type of Proposal & Data Needed Review client record to determine what type of proposal is needed and confirm with Advisor Identify and collect data needed for proposal Prepare Proposal & Paperwork Utilize firm's systems to generate proposal Prepare paperwork to implement the proposal Recommended paperwork a new proposal typically includes: IPS (including client’s risk tolerance) Account Application Custodial/Brokerage Agreement Launch any appropriate service request workflows Provide the proposal to the Advisor for review This allows the Advisor to review or approve the proposal before presenting Advisor Evaluate & Approve Proposal Provide feedback or revise the proposal as needed Approve the proposal as appropriate Process Checklist CONDUCT ROLE STEP DETAILS/TIPS Associate Advisor Present Proposal to Client & Obtain Sign-Off This step could be completed in-person or via webconference depending on the Advisor’s or client’s preferences Present proposal and provide paperwork to client Collect feedback and answer any questions the client might have Obtain client sign-off to move forward with implement the proposal © 2015 SEI. This information is proprietary.  No further distribution is intended.

Manage Tasks to Follow-Up on Proposal Service Requests New Proposal CSA Service Requests AA Service Requests Process Checklist FOLLOW-UP ROLE STEP DETAILS/TIPS Associate Advisor Manage Tasks to Follow-Up on Proposal Launch or update any applicable Service Request workflows (e.g. account opening) Assign tasks to appropriate team members within the firm For example: If CSA needs to process any new paperwork (IPS, account application, custodial/brokerage agreement, etc.) Be sure to follow the firm’s compliance procedures throughout this process Keep record of the following pieces of information, in case there is ever a need to substantiate the firm’s recommendation: For the existing investment solution the client is coming out of – Record asset allocation, assets, portfolio risk tolerance, and fees For the new investment solution the client is moving into – Record asset allocation, assets, portfolio risk tolerance, and fees Notify appropriate representatives within firm © 2015 SEI. This information is proprietary.  No further distribution is intended.