QUIA DEMO SURVEY

Overview: This document is intended to gather information from prospective clients in order to enable StatPro to substantiate an effort estimate for the implementation of Raison SPS. All answers and opinions will be kept strictly confidential and for use only by StatPro. Please enter both your name and the name of your company in the 'Name' space below.

Name


  1. Environment Setup StatPro charges a one time fee to cover the costs and efforts to set up the computing environment, database and telecommunications for the client. This effort is based on the modules, number of users and user IDs that a client requires. With this information in hand we will be in a stronger position to provide you with an cost/effort estimate for the one time environment setup. This estimate is also dependent on whether the implementation is completed on a license or ASP basis. Please specify:

    License - Client owns term license to software and hosts hardware and software on client site.
    Application Service Provision (ASP) - StatPro hosts all hardware and software, client connects to StatPro to run the software.


  1. Environmental Requirements Please note any specific environmental requirements that your organization has. (i.e. Specific type of database, specific communications protocols, security requirements, etc)



  1. Raison SPS Modules Please complete the chart below. Include all of the modules you will be subscribing to and the number of Concurrent Users per module.


            1 2 3 4      
      Master & Administration 1-5 30+  
      Modeling (STAMP) 1-5 30+  
      Trade Order Management (TOM) 1-5 30+  
      Compliance 1-5 30+  
      Reconciliation 1-5 30+  
      Data Integrator 1-5 30+  
      Custodial Notification 1-5 30+  
      Reports Studio 1-5 30+  
      General Ledger 1-5 30+  
      Invoicing 1-5 30+  
      Audit Central 1-5 30+  
      Complex Corporate Actions 1-5 30+  
      Data Publishing 1-5 30+  
      Performance 1-5 30+  
      Repo and Securities Lending (RSL) 1-5 30+  


  1. StatPro Data Services StatPro offers a wide range of security data services. Please select all services from the list below that you plan to subscribe to.

    SVS - Securities Valuation Services; end of day pricing
    MF - Mutual Fund Pricing; intraday
    SAS - Securities Alert Service; corporate actions
    SecurityMaster.NET; extensive securities database
    Unknown - require additional information


  1. Please specify: Target Date to Begin Implementation (please include any dependencies)



  1. Please specify: Target Date for Implementation Completion (please include dependencies)



  1. Implementation Approaches There are a number of ways to effect an implementation. Which direction a client selects will have an impact on the costs and time frames for the implementation. Factors that will impact the scope, timeline and effort include but are not limited to: •Whether a historical data conversion is required and if so, the amount of history •Quality of data provided for conversion and file layouts •Raison SPS modules included (covered above) •Extent of any customization required Type of Conversion required (select ONE):

    As at Conversion – Convert portfolio / security positions as of a specific date. (If you select this response, please skip to question #11)
    Historical Data Conversion – Historical data such as portfolio’s, securities, pricing and transactions are converted from the client’s current system. (If you select this response, please continue on to question #8)


  1. # of Years of History

    1-2 Years
    2-5 Years
    5-7 Years
    7+ Years


  1. Total # of Historical Transactions

    1-5,000 Transactions
    5,000-20,000 Transactions
    20,000-100,000 Transactions
    100,000+ Transactions


  1. # of Performance Close Periods (if applicable)

    1-100 Periods
    100-300 Periods
    300-700 Periods
    700+ Periods


  1. # of Historical Prices

    1-1,000 Prices
    1,000-5,000 Prices
    5,000-25,000 Prices
    25,000+ Prices


  1. # of Portfolios

    1-20 Portfolios
    20-40 Portfolios
    40-100 Portfolios
    100+ Portfolios


  1. # of Securities

    1-200 Securities
    200-500 Securities
    500-1,000 Securities
    1,000+ Securities


  1. Security Types

    Bonds
    Equity
    Money Market
    Warrants
    Futures
    Forwards
    Options
    International Equity
    International Bonds
    Mortgage Backed Securities
    Foreign Cash
    Other (please specify below)


  1. Other Security Types



  1. # of Portfolio/Security Positions

    1-500 Positions
    500-2,000 Positions
    2,000-5,000 Positions
    5,000+ Positions


  1. Average # of Transactions Processed Per Year (Across All Portfolios)

    1-1,000 per year
    1,000-5,000 per year
    5,000-25,000 per year
    25,000+ per year


  1. Total Assets ($)

    Up to $500 Million
    $500 Million - $1 Billion
    $1 Billion - $5 Billion
    $5 Billion - $10 Billion
    $10 Billion - $20 Billion
    $20 Billion - $50 Billion
    $50 Billion +


  1. Conversion File Layouts Depending on the number of portfolio/security positions and volume of transactions to be converted, either manual or electronic conversions are available. Typically, if there are less than 200 portfolio/security positions and no historical data conversion, a manual conversion is feasible. This is the lowest cost scenario, as clients usually initialize data with assistance from StatPro. For higher volumes, an electronic conversion is required. With an electronic conversion, there are numerous options for which file layouts to use. StatPro typically provides standard file layouts and asks that clients populate data in these standard layouts. (The format can be Excel, CSV, etc). Alternately, StatPro can take any form of source data and ‘map’ the data to Raison SPS data values on behalf of the client. This is called a custom data conversion. Based on these descriptions, please specify ONE of the following:

    Manual conversion
    Electronic conversion – use StatPro standard file layouts
    Electronic conversion – client specified file layouts (custom conversion)
    Unknown, requires further discussion


  1. Reporting Specify the types of reports you require. Please provide samples via email to your StatPro Sales Representative, if available.



  1. Customization There are two possible areas of customization - programming and reporting. In both areas, our approach is to determine exactly what is required and then provide a fixed fee quotation for the effort to deliver the customization. Are there any areas where you feel customization will be required? Area’s to consider: •Interfaces required to or from other internal or external systems (i.e. Transactions, pricing, security profiles) •Proprietary calculations specific to your products •Customized reporting for clients or management





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