A Full Spectrum of Services to Meet Your Outsourcing Needs

Boston Financial has developed a broad range of services to meet the needs of all segments of our client base -- fund companies, shareholders and financial intermediaries. Whether you choose a bundled or unbundled approach to our service offerings, we provide the degree of customization that you seek.

Our services include:

Mail Processing and Workflows One of our strengths is the efficiency and flexibility with which we receive, process and route incoming mail for our clients. We accomplish that with an unparalleled integration of Opex mail opening equipment, Wausau cash management applications and DST Systems®’ Automated Work Distributor™ (AWD®), one of the industry’s most advanced work management systems.

Transaction Processing We support a wide range of fund and transaction types, featuring more than 300 fund options and a transaction code matrix that enables clients to define processing rules according to their own needs. Serving as the foundation for all of our transaction process activity is the single-platform TA2000®, the leading recordkeeping system in the mutual fund industry.

Reconciliation and Control We have automated the reporting of cash and share activity for mutual funds, facilitating transaction reconciliation and ensuring early receipt of cash and share positions for fund management. This reporting is customizable at the transaction-type level to accommodate our clients’ business structures.

Boston Financial’s reconciliation and control service is distinguished by several driving principles, including our:

• Unwavering focus on aged open items, to which we apply daily measurement, root cause analysis, strong communications and resources to address incidents.
• Investment in control and reconciliation-specific automation.
• Formal quality and productivity programs.

Reporting One of the strengths of our system is its ability to provide a full range of reports and ad hoc data to clients. Literally thousands of reports are available to assist you in managing your operation. Reports can be generated in many ways, including nightly, monthly, and on request. Reports generated out of the nightly cycle can be "bundled" into groups to streamline the delivery process for key individuals or areas.

Our ad hoc reporting tools complement our standard reporting package. PowerSelect™ gives you the power and flexibility to generate reports based on your specific business needs. The TA2000 Data Warehouse™ pulls and stores data from TA2000 or other corporate databases, accumulating monthly extracts of account, transaction and dealer information.

Tax Reporting Boston Financial helps fund companies to define critical year-end data, test and reconcile the execution of tax reporting and generate tax forms for shareholders. Periodically throughout the tax year, magnetic media reporting is prepared and delivered to the IRS and applicable states.

Regulatory Compliance Our Compliance Department ensures that all parties adhere to current SEC, IRS, ERISA, and state rules and regulations. Our goal is to mitigate exposure and risk by reviewing the adequacy of procedures and controls used by Boston Financial while allowing us to continue to deliver optimal customer service levels.

The department focuses on the reconciliation, remittance and reporting of federal and state withholding, abandoned property reporting, data security, fraud prevention and detection, anti-money laundering and locating lost shareholders. With the ever-changing regulatory environment, we have made robust enhancements to support anti-money laundering (AML), Office of Foreign Asset Control (OFAC) reporting and Customer Identification Program (CIP) regulatory procedures we are required to perform.

Telephone Servicing Our telephone servicing is delivered through our highly trained Customer Service Representatives (CSRs). They undergo rigorous training on the financial services industry, technology and Boston Financial’s responsibilities on your behalf. Our phone quality assurance program is part of our general corporate-wide operational excellence program. At Boston Financial, our ability to ensure delivery of quality goods and/or services is evidenced by our active participation in National Quality Review (NQR), as well as our continued commitment to process improvement initiatives. We employ NQR to provide us with objective external phone quality data. This is used both to verify and calibrate our internal measures and to measure our performance relative to the industry. This has played a key role in engaging the organization in achieving specific service goals. Our internal measures consist of two components; local review and feedback within the call center and a corporate Quality Assurance Team located outside of the call center. By having three viable sources of review, this provides us added assurances in the arena of call quality. In addition to speaking with our CSRs, shareholders may access their accounts via automated telephone solutions. Our sophisticated call center technology supports the complex infrastructure requirements of today’s workflow-enabled call centers.

Internet Services for Shareholders Fund companies can connect investors to fund and account level information online. They can also solicit their investors’ consent to deliver electronic documents, provide them with access to account and compliance information, and notify them when investment-related documents such as statements and confirms are ready for viewing through the Internet.

Statements We provide a customizable output processing solution that offers clients flexibility in the printing and formatting of shareholder, participant and dealer media. We produce and process monthly, daily, quarterly and year-end statements.

We also deliver electronic statements and confirmations directly to the shareholder along with a consent database that can be used to eliminate the delivery of paper documents. In addition, clients can offer shareholders the ability to receive prospectuses, annual reports and proxies electronically over the Internet.

Shareholder and Participant Correspondence Our Shareholder/Participant Correspondence team provides you with consistent and timely correspondence. Our correspondence system is fully integrated with Automated Work Distributor (AWD), allowing pre-defined letters to be systematically pre-filled with vital information. This interface increases quality by reducing data entry.

Internet Services for Intermediaries We provide intermediaries with online access to their data through an interactive web site designed specifically for financial intermediaries. Broker/dealers and financial advisors can view fund, shareholder account and book-of-business information in real-time, as well as execute transactions, perform account maintenance and establish new accounts. They can also access electronic statements, view and order fund literature online, and track assets.

Account Information for Internal Databases Small- to medium-size broker/dealers, financial planners and registered investment advisors can access their transaction histories to maintain an internal database.

Distribution Support Boston Financial has a centralized department dedicated to supporting our client’s distribution networks. In addition to supporting the array of NSCC products, this group provides a single point of contact for all inquiries and activity regarding NSCC distribution. Support functions include relationship management, operations, administration, project management, process improvement and general help desk support.