TA2000 データシートの表示（PDF） - Unspecified

部品番号

コンポーネント説明

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TA2000

Remote Transfer Agent Processing System

Unspecified 

Scope of Report 5

Scope of Report

This report is designed to describe the control environments surrounding the Remote

Transfer Agent Processing System (TA2000) and the Remote Defined Contribution

Recordkeeping Processing System (TRAC).

The objective of this report is to provide information to clients regarding DST's

internal controls relevant to DST Remote clients over DST Remote transfer agent

processing for open end and closed end mutual funds and non-traded real estate

investment trusts (REITs) as well as recordkeeping activities supporting defined

contribution processing. It has been prepared taking into consideration guidance

described in the American Institute of Certified Public Accountants (AICPA)

Statement on Auditing Standards No. 70 (SAS 70), Service Organizations.

The overall control environment of the Remote TA2000 and TRAC systems consists

of the following components:

Organization and management controls.

Controls programmed into the TA2000, TA2000 Subaccounting and TRAC

system software (system controls).

Interaction of controls at DST with Remote client user controls.

Controls over the Information Systems (IS) function in the Mainframe, UNIX,

Windows and IBM Power Systems (iSeries, formerly known as AS/400)

environments at the Winchester Data Center and AWD Data Center.

Controls over the IS function relating to TA2000, TRAC, TA2000 Desktop,

TA2000 Subaccounting Desktop and TRAC Desktop/DST

SmartDesk/Compliance Workstation processing environment at the Winchester

Data Center and AWD Data Center.

Controls over the IS function relating to the FAN Web/TRAC

Web/Vision/E-commerce Core processing environment at the Winchester Data

Center.

Controls over the Automated Work Distributor (AWD) Information Processing

General Computer Controls applicable to those clients that have outsourced those

activities to DST and whose AWD information resides on DST‟s iSeries platform,

which is housed in the AWD Data Center and the Winchester Data Center.

Another level of control consists of the control activities exercised by the client. User

controls will vary depending on the specific function involved and on the extent of

services that DST provides to each individual client. This report does not consider

activities that are performed at client locations. However, this report, when coupled

with an understanding of controls in place at user locations, is intended to permit

evaluation of the system of internal controls surrounding transactions processed

through the TA2000, TA2000 Subaccounting and TRAC systems.

Copyright © 2010 DST Systems, Inc.

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