| | Forensic testing of trading / investments and execution
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| | Regulatory filings monitoring
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| | Personal email review
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| | Personal trading and Intralinks / Syndtrack audits
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| | Trade ticket audit
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| | Best execution / broker allocation / pricing / valuation review
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| | Monitoring trading and investment restrictions
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| | Marketing approval log maintenance
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| | Gifts and Entertainment log maintenance
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| | Code of Ethics breaches log maintenance
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| | World Check / AML new investor review / due diligence
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| | Investor side letter tracking
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| | Books and records retention and maintenance review
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| | Continuing education programs log maintenance
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| | Proxy voting audit
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| | Business continuity plan testing
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| | Review of privacy policy and procedures
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| | Information security / identity theft prevention
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