APPENDIX C SERVICES QUESTIONNAIRE A. Corporate Information Provide a summary (no longer than 2 pages) within which you summarize the key value proposition of your organization. Ensure that you identify how the organization, service model, team assigned, services offered, transparency of business/revenue model, and overall economics are designed to provide exceptional services with a market-leading standard of care and dedication befitting the Florida Prepaid College Board. Please indicate month and year Respondent became operative. Please indicate the month and year Respondent began providing services. Please indicate SEC file number for the Respondent or any subcontractor(s) that will manage the account. Please indicate exact date of SEC 1940 registration for the Respondent or any subcontractor(s) that will manage the proposed product. List the office location (primary and secondary) from which the work is to be delivered. Are there any current organizational issues (i.e., mergers, acquisitions, personnel changes, business concerns, etc.) at your institution that we should know about? Have there been any organizational issues over the last three years? List firms and provide a brief description of the services offered by each firm. “related” List all investment management services offered by the firm (i.e. Domestic Equity, Foreign Equity, Domestic Fixed Income, etc). Does the firm provide any other product or service other than portfolio management? Please list. Provide details of any SEC, state regulatory, self-regulatory organization, or professional organization action taken against your firm or any of its owners, principals, or personnel. Provide details of all SEC fidelity bonds, errors and omissions coverage, and any other fiduciary insurance, which your firm carries. Describe all arrangements or understandings (written or oral) between your firm and any advisor, broker, law firm, or other individual or entity in connection with the solicitation or referral of clients between the firms. Has your firm adopted policies consistent with CFA Institute management/soft dollar guidelines? If so, provide details. Is there any current or pending litigation? If so, provide details. B. Personnel Attach an organizational chart and biographies of key personnel which would be assigned to this account, including length of experience and expected retention. Key personnel include investment officers, portfolio managers, and analysts. Complete the following chart: Firm Small Cap. Core Total Domestic Equity
APPENDIX C SERVICES QUESTIONNAIRE A. Corporate Information Provide a summary (no longer than 2 pages) within which you summarize the key value proposition of your organization. Ensure that you identify how the organization, service model, team assigned, services offered, transparency of business/revenue model, and overall economics are designed to provide exceptional services with a market-leading standard of care and dedication befitting the Florida Prepaid College Board. Please indicate month and year Respondent became operative. Please indicate the month and year Respondent began providing services. Please indicate SEC file number for the Respondent or any subcontractor(s) that will manage the account. Please indicate exact date of SEC 1940 registration for the Respondent or any subcontractor(s) that will manage the proposed product. List the office location (primary and secondary) from which the work is to be delivered. Are there any current organizational issues (i.e., mergers, acquisitions, personnel changes, business concerns, etc.) at your institution that we should know about? Have there been any organizational issues over the last three years? List “related” firms and provide a brief description of the services offered by each firm. List all investment management services offered by the firm (i.e. Domestic Equity, Foreign Equity, Domestic Fixed Income, etc). Does the firm provide any other product or service other than portfolio management? Please list. Provide details of any SEC, state regulatory, self-regulatory organization, or professional organization action taken against your firm or any of its owners, principals, or personnel. Provide details of all SEC fidelity bonds, errors and omissions coverage, and any other fiduciary insurance, which your firm carries. Describe all arrangements or understandings (written or oral) between your firm and any advisor, broker, law firm, or other individual or entity in connection with the solicitation or referral of clients between the firms. Has your firm adopted policies consistent with CFA Institute management/soft dollar guidelines? If so, provide details. Is there any current or pending litigation? If so, provide details. B. Personnel Attach an organizational chart and biographies of key personnel which would be assigned to this account, including length of experience and expected retention. Key personnel include investment officers, portfolio managers, and analysts. Complete the following chart: Firm Total Small Cap. Core Domestic Equity
ITN_15-01_small_cap.docx