Planning Services Meeting Client Communications Client Management on a seasonal approach, such as tax analysis in first quarter, education planning in second, insurance and estate planning in third and fourth quarter). Review Meeting Planning Services Meeting Periodic Contact Client Communications Description: This workflow describes all the steps required to manage client relationships via periodic contact, so that there’s ongoing contact with clients without regard to meeting frequency. The point of contact could take the form of a phone call, email, card, or gift. Typical reasons for the contacting a client might include but are not limited to a family/lifestyle change, recent event, outstanding issue, financial notification, client achievement (i.e. new job, promotion, news, or press), or special event (i.e. birthday, wedding anniversary, etc.). When determining how frequently to contact a client, a firm should take into consideration the type of client (service-level, communication preferences, personal schedule, etc.) and capacity of the team to manage those points of contact. Process Checklist PREPARE ROLE TASK DETAILS/TIPS Advisor Review Client Records & Activity Due: Day of Point of Contact This process is initiated when a reminder or event prompts the Advisor to contact a client, which typically happens one of two ways: The firm sets a reminder to contact the client, which could be scheduled to maintain ongoing contact, follow-up on something, or to recognize a specific date (i.e. day became a client , birthday, etc.) The firm finds out about a specific event or news that is relevant o the client (i.e. client had a baby, news in client’s industry of work, etc.) Review the client’s records and activity (i.e. meetings, calls, emails, transactions, etc.) in the CRM and other relevant systems For added client context or background that recall the last point of contact with the client and the firm’s latest activity with the client To ensure there's no outstanding issues that needs addressing and might derail the original reason for the point of contact Identify Reasons & Type of Contact Required Due: Day of Point Contact If point of contact requires a call or email: Move to the “Conduct – Call or Email” step of this process next and skip the “Conduct – Gift or Card” step If point of contact requires a gift or card: Move to the “Conduct – Gift or Card” step of this process next and skip the “Conduct – Call or Email” step © 2015 SEI. This information is proprietary.  No further distribution is intended.

Planning Services Meeting Client Communications Client Management Review Meeting Planning Services Meeting Periodic Contact Client Communications Process Checklist CONDUCT – CALL OR EMAIL ROLE TASK DETAILS/TIPS Advisor Conduct Call or Send Email Whether the firm chooses to send a gift versus a card to client, depends on the occasion, the type of client, and the firm’s general policies Contact the client via a call or email utilizing the following informal agenda as a guide: Address any immediate client concerns Review any family or personal topics (i.e. kids) Identify reason for point of contact Review any outstanding issues or next steps Thank client for time or consideration to matter Process Checklist CONDUCT – GIFT OR CARD ROLE TASK DETAILS/TIPS Client Service Associate Organize & Send Gift or Card Whether the firm chooses to send a gift versus a card to client, depends on the occasion, the type of client, and the firm’s general policies Send a gift or card to the client utilizing the following informal tasks as a guide: Gather all necessary materials and information (i.e. address) Organize and prepare all deliverables to be sent Send gift or card to the client and monitory delivery as appropriate Process Checklist FOLLOW-UP ROLE TASK DETAILS/TIPS Advisor Manage Follow-Up Tasks for Point of Contact Due: Day of Point of Contact Record any relevant notes and input any new profile data in the CRM Execute and assign any tasks coming out of the point of contact Launch "Periodic Contact" workflow again as appropriate © 2015 SEI. This information is proprietary.  No further distribution is intended.