We Encourage You to Complete This Survey At

We encourage you to complete this survey at www.globalcustodian.com

Please complete using block capitals or typed answers. Surveys that are incomplete, illegible, or are missing information for the required fields cannot be used. This information is confidential and will not be shared with third parties. Thank you for participating.
1.0 About Yourself
1.1 Full Name (required):
1.2 Telephone Number (please include country code) (required):
1.3 Email Address (required):
1.4 Which of the following best describes your job function (required): Please SelectNetwork ManagementSecurities OperationSettlementsCustodyBack OfficeCorrespondent BankingOther If other, please specify here:
1.5 Would you like a free one-year subscription to Global Custodian magazine? (required): Please SelectYesNo
1.6 If YES, please provide your full mailing address:
Address line 1:
Address line 2:
City: / State/Province:
Country:
Zip/Postal code:
1.7 Which of the following best describes your job title (required): Please SelectBack office managerCustody ManagerHead of Back OfficeHead of CustodyHead of Network ManagementHead of OperationsHead of Securities ServicesHead of SettlementsNetwork ManagerOperations managerSecurities Services ManagerSettlements ManagerOther If other, please specify here:
2.0 About Your Organization
2.1 Name of your organization (required):
2.2 Please give the city where you are based – NOT where your company is headquartered (required):
2.3 Please give the country where you are based – NOT where your company is headquartered (required):
2.4 Which of the following best describes the nature of your organization as a whole: (required): Please SelectBroker-dealerCentral bankCommercial bankCSDCustodian bankFund administratorFund managerGlobal custodian bankICSDInsurance companyInter-dealer brokerInvestment bankIssuer (i.e. corporate)Pension fundPrivate bankPrivate wealth managerRetail bankSavings bankSecurities trading firmState agency (other than central bank)SupranationalTrust bankUniversal bankOther If other, please specify here:
2.5 Which of the following best describes the function of your part of the organization? (required): Please SelectBroker-dealingCustody bankingFund administratorFund managementInvestment bankPrivate wealth managementSecurities clearing and settlementSecurities tradingOther If other, please specify here:
2.6 Please state the approximate total value of the appropriate choice for your type of organization:
(If you do not choose a value, your response will be assigned the lowest weighting) (Please choose one) (required)
Please choose one
2.6 (i) Please state total value of assets in custody IF your Organization is a Bank (of any kind), CSD, ICSD
2.6 (ii) Please state total value of assets of the firm IF your Organization is a Fund Manager, Hedge Fund Manager, Insurance Company, Pension Fund, Private Client Stockbroker or Private Wealth Manager
2.6 (iii) Please state total value of assets Under Management IF your Organization is a Securities Firm, Broker-Dealer, Issuer, State Agency, Supranational, or Other / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or moreNot Disclosed
2.7 What is the total number of agent banks that your organization uses? (required):
2.8 Please give the address of your corporate Website (for verification purposes) (required):
2.9 Please state your Bank Identification Code (BIC) code (or if not a bank, other unique identification number, such as VAT number) (required):
3.0 About Your Agent Bank
3.1 Please choose from the following list all of the providers which you use to service your needs (required):
ABN Amro NV
Absa Investor Services
Banco Espirito Santo
Bank Hapoalim
Bank Leumi le-Israel
Bank of Tokyo-Mitsubishi UFJ
BBVA
BNP Paribas
BNY Mellon Asset Servicing
Brown Brothers Harriman
CACEIS
CIBC Mellon
Citi
Clearstream Banking
Commerzbank
Credit Suisse
Danske Bank
DBS Bank
Deutsche Bank
DnB Nor
Erste Group Bank
Eurobank EFG
Euroclear Bank
FNB Custody Services
Geniki Bank
Hana Bank
Handelsbanken
HSBC Securities Services
Intesa SanPaolo
Israel Discount Bank / J.P. Morgan
KAS Bank
KBC Securities Services
Kookmin Bank
Korea Exchange Bank
Millennium bcp
Mizrahi Tefahot Bank
Mizuho Corporate Bank
National Australia Bank (NAB)
National Bank of Greece
Nedbank
Nordea Bank
Northern Trust
Pohjola Bank
Raiffeisen Bank International
RBC Investor Services
Santander
SEB
SIX Securities Services
Société Générale Securities Services
Standard Bank South Africa
Standard Chartered Bank
State Street
Sumitomo Mitsui Banking Corporation
Swedbank
UBS
UniCredit Bank
United Overseas Bank
Other (please specify)
3.2 Is your organization affiliated with this agent bank (through ownership, alliance or joint-venture)? (required)
Provider
1 / Provider
2 / Provider
3 / Provider
4 / Provider
5 / Provider
6 / Provider
7 / Provider
8 / Provider
9 / Provider
10
Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo
3.3 Market (country) or markets in which you are rating this agent bank (Please choose all that apply) (required):
Provider
1 / Provider
2 / Provider
3 / Provider
4 / Provider
5 / Provider
6 / Provider
7 / Provider
8 / Provider
9 / Provider
10
ICSD
Australia
Austria
Belgium
Canada
Denmark
Finland
France
Germany
Greece
Hong Kong
Ireland
Israel
Italy
Japan
Korea
Netherlands
New Zealand
Norway
Portugal
Singapore
South Africa
Spain
Sweden
Switzerland
United Kingdom
United States
Other
(please specify)
3.5 Do you use this provider primarily for (Please select box in table below) (required):
A) Clearing services (i.e. clearing and settling securities transactions)
B) Custody services (i.e. keeping assets in safe custody and servicing those assets, for example by collecting interest and dividend payments, notifying them of corporate actions and implementing their instructions, voting as their proxy at AGMs, etc.)
C) We use this provider for custody and clearing equally.
Provider/
Market 1 / Provider/
Market 2 / Provider/
Market 3 / Provider/
Market 4 / Provider/
Market 5 / Provider/
Market 6 / Provider/
Market 7 / Provider/
Market 8 / Provider/
Market 9 / Provider/
Market 10
Please SelectABC / Please SelectABC / Please SelectABC / Please SelectABC / Please SelectABC / Please SelectABC / Please SelectABC / Please SelectABC / Please SelectABC / Please SelectABC
3.6 Which of the following best describes your relationship with this provider (required):
A) This provider is an ICSD, which we are using as a window into multiple instruments and/or markets
B) This provider is an agent bank from which we buy services in a number of markets, and which services our needs via its own operations in each of the local markets
C) This provider is an agent bank from which we buy a service in this market only, and which services our needs in this market only
D) This provider is an agent bank from which we buy services in a number of markets, and which services our needs from a single centralized service center
E) This provider is an agent bank from which we buy services in a number of markets, and which services our needs through a mixture of local market and centralized operations
F) We self-clear in this market through our own account at the local CSD, and use this provider for a limited range of services
Provider/
Market 1 / Provider/
Market 2 / Provider/
Market 3 / Provider/
Market 4 / Provider/
Market 5 / Provider/
Market 6 / Provider/
Market 7 / Provider/
Market 8 / Provider/
Market 9 / Provider/
Market 10
Please SelectABCDEF / Please SelectABCDEF / Please SelectABCDEF / Please SelectABCDEF / Please SelectABCDEF / Please SelectABCDEF / Please SelectABCDEF / Please SelectABCDEF / Please SelectABCDEF / Please SelectABCDEF
The following information will not be disclosed to third parties; it is for weighting purposes only.
(If you do not provide an answer, your response will be assigned the lowest weighting)
3.7 Approximate value of total assets your organization had in custody with each agent of these agent banks at December 31, 2011 or nearest suitable date (please choose from the following ranges) (please be sure to give a figure for assets in sub-custody with this agent bank only, not the total value of assets you have in custody with all agent banks, or your assets under administration, or your assets under management) (required):
Provider/
Market 1 / Provider/
Market 2 / Provider/
Market 3 / Provider/
Market 4 / Provider/
Market 5 / Provider/
Market 6 / Provider/
Market 7 / Provider/
Market 8 / Provider/
Market 9 / Provider/
Market 10
Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more / Please SelectLess than US$10 MillionUS$10-49 MillionUS$50-99 MillionUS$100-249 MillionUS$250-499 MillionUS$500-999 MillionUS$1.0-1.9 BillionUS$2.0-2.9 BillionUS$3.0-3.9 BillionUS$4.0-4.9 BillionUS$5.0-9.9 BillionUS$10 Billion or more
3.8 Average monthly volume of transactions your organization processed through with each agent of these agent banks in each market in the year ended December 31, 2011 or nearest suitable date (please choose from the following ranges) (required):
Provider/
Market 1 / Provider/
Market 2 / Provider/
Market 3 / Provider/
Market 4 / Provider/
Market 5 / Provider/
Market 6 / Provider/
Market 7 / Provider/
Market 8 / Provider/
Market 9 / Provider/
Market 10
Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000 / Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000 / Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000 / Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000 / Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000 / Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000 / Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000 / Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000 / Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000 / Please Select0 - 5051 - 250251 - 500501- 1,0001,001 - 2,5002,501 - 5,0005,001 - 7,5007,501 - 10,00010,001 - 12,50012,501 - 15,00015,001 - 20,000More than 20,000
The Scorecard
Please rate the performance of each agent bank that you have selected in each of the 14 service areas in this section, using the scoring scale below. At the beginning of each service area you will be given an opportunity to skip all of the questions in that area. Within each service area, you can skip any one question by marking it 'N/A' (for 'Not Applicable'):
1 – Unacceptable
2 – Very Weak (consistently fails to meet expectations)
3 – Weak (sometimes fails to meet expectations)
4 – Satisfactory (adequate, but undistinguished)
5 – Good (consistently meets expectations)
6 – Very Good (exceeds some reasonable expectations)
7 – Excellent (exceeds most normal expectations)
N/A – Not applicable (service not purchased)
4.0 Value and Commitment
Provider/
Market 1 / Provider/
Market 2 / Provider/
Market 3 / Provider/
Market 4 / Provider/
Market 5 / Provider/
Market 6 / Provider/
Market 7 / Provider/
Market 8 / Provider/
Market 9 / Provider/
Market 10
Would you like to skip this entire section (you can skip particular questions in this section by marking them 'N/A')? (required) / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo / Please SelectYesNo
4.1 Commitment to securities services by the bank bank/ICSD as a whole (i.e. demonstrable, continuing investment in people and technology to support securities services): (required) / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A
4.2 Priority given to securities services within total business activities: (required) / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A / Please Select1- Unacceptable2- Very weak3- Weak4- Satisfactory5- Good6- Very good7- ExcellentN/A