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2018 R & M Investor Services Survey
CONFIDENTIAL

Please ensure you submit a response for each provider you use (or at least the major ones).
To assist you in this we can issue you with a multi-provider response spreadsheet.
Please ask for one by email to fiona@clientalkback.com

Your Details:-


Name:

Job Title:-

*Email address:

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responses without a valid email address will not be accepted as we may need to contact you to validate your scores.

 

Your Company Name:

State / City / Province:

Country:

Please indicate what type of institution you are:-
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Asset Manager
Asset Owner (e.g. Pension Fund, Charity, Endowment etc.)
Family Office
Bank (using an outside service provider to process your clients’ custody business)
Third Party Administrator / Outsourced Provider (acting on behalf of another company whose assets you administer)

please indicate whether the relationship with this custodian is
Please indicate the number of other investor services providers your organisation deals with.
Your Custody Provider :-


*Name:

*Country:

Value of  assets held with this provider
HelpPlease indicate the currency

HelpPlease indicate the amount
*Please indicate on what geographic basis these assets are held by the provider:-

Scoring Guide


7 - Excellent (consistently exceeds expectations)
6 - Very good (meets and occasionally exceeds expectations)
5 - Good (consistently meets expectations)
4 - Satisfactory (adequate but undistinguished)
3 - Weak (sometimes fails to meet expectations)
2 - Very weak (consistently fails to meet expectations)
1 - Unacceptable

Please help us to understand fully the responses you have given by writing a short explanation in the text box beneath each category.
HelpIn particular please give your reasons for any scores below 4 or any scores of 7.
Settlement & Safekeeping


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

1 Accuracy & timeliness of settlements

2 Efficiency of matching trades pre-settlement

3 Failed trade reporting and management

4 Accuracy of income collection

5 Timeliness of income collection

Please explain the scores you have given:-

Tax Reclaims


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

6 The efficiency of obtaining tax relief at source

7 Efficiency at filing claims in a timely manner

8 Speed of crediting tax reclaims

9 Quality of reporting tax reclaims

10 Quality of support for notification and completion of new/updated forms

11 Effectiveness in communicating changes in tax reclaims

Please explain the scores you have given:-

Corporate Actions


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

12 Accuracy and clarity of information provided

13 Lateness of deadlines for instructions

14 Availability of online notifications / instructions

15 Timeliness and accuracy of a/c postings

Please explain the scores you have given:-

Proxy Voting


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

16 Flexibility of deadlines for instructions

17 Ability to receive instructions online

18 Reporting of outcome of meetings

19 Ability to deal with complex proxy events

Please explain the scores you have given:-

Client Reporting


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

20 Format (ease of use) of basic custody reports

21 Timeliness / accuracy of basic reports

22 Availability / frequency of MIS statistics

23 Flexibility of internet based reporting

24 Availability of reporting on portable device (iPad, tablet etc.)

Please explain the scores you have given:-

Monthly Accounting / Valuation reports (if used)


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

25 Accuracy of accounting / valuation reporting

26 Timeliness of accounting / valuation reporting

27 Quality and timeliness of regulatory reporting

Please explain the scores you have given:-

Client Service & Relationship Management


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

28 Experience / knowledge of CS personnel

29 Speed and accuracy of reply from CS personnel on enquiries

30 Experience / knowledge of RM’s

31 Speed and accuracy of reply from RM’s on enquiries

32 Level of understanding of your business
and expertise/advice given meeting special needs

Please explain the scores you have given:-

Customer Facing Technology
(if used)

Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

33 Flexibility of internet based technology

34 Accuracy of internet based information

35 Ability to interface with your systems if required

36 Support and training provided

37 Compliance with industry standards (e.g. SWIFT)

Please give your reasons for the scores you have given:-

Network


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

38 Breadth/coverage of sub-custodian network

39 Credit quality of sub-custodian network

40 Provision of market intelligence / information

41 Quality of support for keeping abreast of regulatory changes and assisting their implementation

Please explain the scores you have given:-

Ancillary


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

42 Interest rates on cash balances

43 Transparency of FX rates and trading expertise

44 Cash management
(including support for CLS)

45 Processing of Alternative Investments / Derivatives

46 Availability / quality of class action services

47 Ability to handle all transitions including complex ones effectively

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Please explain the scores you have given:-

Service Quality


Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

48 Competitiveness of fees
(answer only if you pay the fees)

49 The accuracy and timeliness of invoices

50 Overall quality of service
(value for money)

Please explain the scores you have given:-

Securities Lending Programme
(if applicable)

Please rate the categories set out below on a scale of
7 (excellent) to 1 (unacceptable).
  7 6 5 4 3 2 1

51 Operational Efficiency of SL program

52 Revenue generation from SL programme

53 Quality and breadth of SL reporting

54 SL Relationship Management / SL Service coverage

Please explain the scores you have given:-

In the last 12 months


has the service from your provider
Comments


Are there any additional comments you wish to make about this provider or the survey:-

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