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HD VEST, Inc. VEST Information Requirements VI - PAGE 18 The following section documents the defined high-level information requirements, identifies who in the organization has involvement in critical business functions, what information is used to support those functions, and how information is used and shared between individuals, departments, Reps, sponsors, and others. The requirements are based on interviews with selected VEST management and personnel. These information requirements should be utilized in reviewing back-office software packages to determine the level of fit of a package to VEST requirements. HD VEST, Inc. VEST Information Requirements Operations Key Requirement Priority Detailed Description/Example Order Processing 1 Ability to make out-of-balance account adjustments H 2 Ability to translate trade records to clearing firm record format H 3 Ability to review, approve, store and retrieve orders H Proof list, final list 4 Ability to review and approve paperwork H RCCQ, financial profile, HDVAS service agreement, HDVAS application, recommendation sheet 5 Ability to transmit orders in batch mode to clearing firm H 6 Ability to process cross-fund complex transactions L 7 Ability to process exchanges, liquidations, purchases and sales H 8 Ability to manage portfolio Trade order management Ability to maintain risk tolerance ranges for portfolio creation and rebalancing purposes Ability to perform program trading Reconciliation to clearing firm Performance measurement Investment decision support Analytics Portfolio Accounting H Order restrictions, block trade allocations “Predictive” order generation Compliance with AIMR, TWR, BAI, IMCA and SEC standards/regulations, composite performance comparisons against Advisory Service-defined indices (e.g., SP) NAV analysis, scenario analysis Tax lot and average cost accounting Trade and settlement date accounting for reconciliation Cash flow projecti