TA2000 データシートの表示（PDF） - Unspecified

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TA2000

Remote Transfer Agent Processing System

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Scope of Report 7

This is a 12-month report which includes results for the period October 1, 2009 to

March 31, 2010, which were also included in the previous report dated May 14, 2010.

The management responses in Chapter V include details around the six-month period

in which the exception was identified. Responses preceded by “3/31/10” relate to

exceptions identified and communicated in the prior report. Responses preceded by

“9/30/10” relate to newly identified exceptions. For those control activities with

exceptions identified during both time periods, separate responses are included.

Areas Not Covered By This Report

This report does not cover the control environment as it relates to Full Service clients

although, by necessity, sections of this report address certain controls pertinent to Full

Service clients. Full Service clients should refer to the DST TA2000 Full Service

Transfer Agent Processing report, which describes control aspects relevant to Full

Service users as of September 30, 2010 and for the previous 12 months.

This report does not cover activities that are performed at client locations as described

in User Control Considerations on page 40. It is not designed to provide assurance

regarding client specific application functionality and/or automated controls that are

unique to a single client or group of clients. Additionally, this report does not consider

controls related to lines of business other than the transfer agent or shareowner

servicing business.

In addition, there are certain aspects of DST services to clients that are not covered by

this report, which include, but are not necessarily limited to, the following:

Remote installations of TA2000 Desktop.

Remote installations of TA2000 Subaccounting Desktop.

Remote installations of TRAC Desktop/DST SmartDesk/Compliance Workstation.

Remote installations of AWD.

Conversions to/from TA2000 and TRAC.

Printing and mail services other than those provided by DST Output – Kansas City

and DST Output – Hartford.

Copyright © 2010 DST Systems, Inc.

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