Account Set-Up and Trade Processing Flows Using AddVantage.

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Presentation transcript:

Account Set-Up and Trade Processing Flows Using AddVantage

SAT submits IPS and Advisory Svs Agmt and any approved restrictions to SAM New Account Workflow Required paperwork provided by Portfolio Builder Client signs paperwork (firm-specific documents and advisory services agreement) Advisor sends paperwork and initial assets to Trust Ops Compliance and suitability review Is paperwork OK? If “no,” advisor notified. If “yes,” Trust Ops … If SAMs being hired, Trust Ops sends copies of agreements and IPS to SAT SAT sends copy of agreements to APL Ops Group Trust Ops sends notice of funding of SAM accounts to SAT APL Ops notified of SAM sub-accounts via upload from AddVantage System SAT Communicates SAM acceptance to APL Ops Group APL Ops Group releases account for manager to trade the account YesNo Trust Ops sends copy of IPS and AddV account information to Investment Department Advisor/Client SunGard Advisor Technologies (SAT) Separate Account Manager (SAM) Trust Operations APL Ops Group/APL Investment Dept manages internal SAMs allocations and overall asset allocation via Portfolio Manager, AddVantage, etc. APL Ops receives paperwork from SAT, opens account on APL – receives data from Custodian/Trust Ops Trust Ops opens accounts according to IPS. Mutual fund and ETF accounts are funded and purchased by Trust Ops

SAM Trade Processing Flow Security APL STN Depository Stock Exchange SunGard Advisor Technologies AddVantage Trade Block Created (1) Trade Allocation(6) Exception Reporting (9) Block Sent to B/D (2) Block for execution (3) Executed Block (5) Trades sent to Depository (4) Executed Block (5) Incoming Allocated Trades/Daily Activity File (7) Trade Settlements (10) Position and Cash Reconciliation File (8.2) New Accounts N&A File (8.3) Bookkeeping Daily Activity File (8.1) Internal Portfolio Managers Consolidated Statements & Web Access Investment Scorecard or Other Vendor Invoicing Page 5 Separate Account Managers - Performance - Drift, if available

SAM Trade Workflow Separate Account Managers STN Depository Stock Exchange SWMS SunGard Advisor Technologies (SAT) AddVantage Trade Block Created (1) Trade Allocation(7) Exception Reporting (9) Block Sent to B/D (2) Block for execution (3) Executed Block (5) Trades sent to Depository (4) Executed Block (6) Incoming Allocated Trades/Daily Activity File (8) Trade Settlements (10) Position and Cash Reconciliation File (8.2) New Accounts N&A File (8.3) Bookkeeping Daily Activity File (8.1) PG 1 1 SIBI CheckFree APL

Trade Processing Description 1.Manager enters block trade for participant accounts into Security APL 2.Trade order is sent to broker for execution 3.Block trade is executed 4.Executed trades are sent to the depository to await settlement 5.Trade prices are entered into the system 6.Manager allocates trades to individual accounts through system 7.Custody system receives allocated trades via Security APL to post into custody system 8.Custody system feeds transaction activity to Security APL on a nightly basis. Security APL performs account level comparison of custody data to APL 9.APL Ops Group performs reconciliation and communicates and resolves any exceptions with SAMs 10.Trades settle at depository

Process Flow Using Internal Overlay Management In-House Portfolio Manager Trust Operations AddVantage Manager – Setup Models, Client Profiles Buy Lists, Benchmarks Asset Rankings Portfolio Manager AddVantage Daily Wash Sales Daily Holdings File STN Stock Exchange Depository Decisio n On Recommended Trades Adjust Trade File No Release Trades To Holding Pen STP Link Block Trades Yes Format Trades Into AddVantage Format Trade Order Entry Trades Sent Via Existing Interface Page 3