Corporate Pension Funds Endowments Mutual Funds Insurance companies Other (Specify) TOTAL 100% Please list your 5 largest U.S. tax-exempt clients with the following information. Name Date of Inception Market Value (June 30, 2012) List all proxy servicing clients gained over the past three years as of June 30, 2012. List all proxy servicing clients lost over the past three years as of June 30, 2012 and the reasons why. Describe the objectives of your firm with respect to future growth, commenting on new products or services, additional resources, and size limitations. Explain your firm’s goals and plans for expansion, particularly how such goals pertain to accepting new client business and the quality of service to all clients. Is there a limit to the number of new clients your firm will accept? At what point will your firm need to add additional staff? What are the client ratios of both your firm and the proposed Primary Contact? C. PEOPLE/ORGANIZATION Please identify all consultants to your firm and their staff that would be involved in providing the proposed services to PRIM, including research and systems support personnel. Include length of experience in providing those services, any specialty expertise they possess, and the highest educational degree they have attained. Please explain how the team dedicated to the PRIM account would function, including the primary contact(s), back-up, quality control, research, and support services. In addition, please explain how the team would interact and communicate with PRIM. What are the procedures for addressing PRIM’s issues when the primary contact(s) or other assigned personnel are on vacation or unavailable? What personnel or organizational improvements are planned over the next years? Discuss the causes and impact of any turnover (departures and/or hiring/promotions) of any professionals directly involved in the product you have experienced in the past three
Corporate Pension Funds Endowments Mutual Funds Insurance companies Other (Specify) TOTAL 100% Please list your 5 largest U.S. tax-exempt clients with the following information. Name Date of Inception Market Value (June 30, 2012) List all proxy servicing clients gained over the past three years as of June 30, 2012. List all proxy servicing clients lost over the past three years as of June 30, 2012 and the reasons why. Describe the objectives of your firm with respect to future growth, commenting on new products or services, additional resources, and size limitations. Explain your firm’s goals and plans for expansion, particularly how such goals pertain to accepting new client business and the quality of service to all clients. Is there a limit to the number of new clients your firm will accept? At what point will your firm need to add additional staff? What are the client ratios of both your firm and the proposed Primary Contact? C. PEOPLE/ORGANIZATION Please identify all consultants to your firm and their staff that would be involved in providing the proposed services to PRIM, including research and systems support personnel. Include length of experience in providing those services, any specialty expertise they possess, and the highest educational degree they have attained. Please explain how the team dedicated to the PRIM account would function, including the primary contact(s), back-up, quality control, research, and support services. In addition, please explain how the team would interact and communicate with PRIM. What are the procedures for addressing PRIM’s issues when the primary contact(s) or other assigned personnel are on vacation or unavailable? What personnel or organizational improvements are planned over the next years? Discuss the causes and impact of any turnover (departures and/or hiring/promotions) of any professionals directly involved in the product you have experienced in the past three
ProxyAdvisoryServicesRFP09042012.docx