2011 — Rankings, Recognition & Awards

aiCIO

Industry Innovation Awards

  • Servicing: Custody (Asset Management Servicing)
Asia Asset Management

Best of The Best Awards

  • Custodian Leader of the Year – David Russell
Asian Investor

2011 Service Provider Awards

  • Best Outsourcing Services
  • Best Direct Custody, China
  • Best Direct Custody, India
The Asset

Triple A Awards – Securities & Fund Services

  • Best ADR Bank
  • Best Sub-Custodian – Broker/dealer
  • Best in Corporate Trust – Hong Kong
  • Best Sub-Custodian – Vietnam
  • Best Fund Administrator – Hedge Funds – Australia
  • Best Fund Administrator – Hedge Funds – Japan
Comissão de Valores Mobiliários (CVM)
  • #1 Private Equity assets under administration in Brazil
EMEA Finance

Achievement Awards

  • Best depositary receipt programme – Mail.Ru
Financial-I

Leaders in Innovation Awards 2011

  • Securities Services – Best in Securities Lending
FSOkx

Excellence Awards

  • OpenWealthSM – Excellence in Business Process Management
FSOkx

Funds Europe Awards 2011

  • European Custodian of the Year
Global Custodian

Agent Banks – Major Markets Survey

Country Standings

    Top Rated – As voted by Leading Clients (18)

  • Australia
  • Austria
  • Belgium
  • Canada
  • France
  • Germany
  • Greece
  • Hong Kong
  • Ireland
  • Italy
  • Japan
  • Korea
  • Netherlands
  • New Zealand
  • Portugal
  • Singapore
  • Spain
  • United Kingdom
  • Commended – As Voted by Leading Clients (3)

  • Israel
  • Switzerland
  • United States
  • Top Rated – As voted by Cross-Border/Non Affiliated Clients (18)

  • Australia
  • Austria
  • Belgium
  • France
  • Germany
  • Greece
  • Ireland
  • Italy
  • Japan
  • Korea
  • Netherlands
  • New Zealand
  • Portugal
  • Singapore
  • Spain
  • Switzerland
  • United Kingdom
  • United States
  • Commended – As voted by Cross-Border/Non Affiliated Clients (3)

  • Canada
  • Hong Kong
  • Israel

Regional standings

    Top Rated – As Voted by Leading Clients (3)

  • Global
  • Asia/Australasia
  • Western Europe
  • Commended – As Voted by Leading Clients (1)

  • North America
  • Top Rated – As voted by Cross-Border/Non Affiliated Clients (3)

  • Global
  • Asia/Australasia
  • Western Europe
  • Commended – As voted by Cross-Border/Non Affiliated Clients (1)

  • North America

Domestic Standings

    Domestic – Top Rated (2)

  • Australia
  • Singapore
  • Domestic – Commended (1) (1)

  • Korea

Global Custody Survey

Top Rated

  • Greater than $10 billion
  • Europe

Commended

  • Less than $1 billion
  • $1-10 billion
  • Asia
  • North America
  • Fund Managers
  • Institutional Investors
  • Global

Service Categories as voted by Fund Managers – 28 Best in Class

  • Relationship Management (3)
  • Client Services (4)
  • Cash Management (4)
  • Foreign Exchange (4)
  • Proxy Voting (1)
  • Corporate Actions (2)
  • Reporting (2)
  • Income Collection (2)
  • Tax Reclaims (1)
  • Technology (2)
  • Settlement (3)

Service Categories as voted by Institutional Investors – 24 Best in Class

  • Relationship Management (2)
  • Client Service (2)
  • Cash Management (3)
  • Foreign Exchange (1)
  • Proxy Voting (1)
  • Technology (1)
  • Transaction Cost Management (1)
  • Transition Management (4)
  • Performance Measurement (4)
  • Compliance (5)

Mutual Fund Administration Survey

  • #1 Asia
  • #2 Single Provider category
  • #3 Europe
  • #3 Fund of Funds

Top Rated

  • Global
  • $100M - $1 Billion
  • $1 Billion-$5 Billion
  • $5 Billion +
  • Equity
  • Fixed Income
  • Fund of Funds
  • Other Funds
  • North America
  • Asia Pacific
  • Single Provider
  • Multi-Provider

Commended:

  • < $100M
  • Europe

Best in Class: 76

  • Client Service (6)
  • Value (12)
  • Fund Accounting (7)
  • Transfer Agency (9)
  • Distribution Support (5)
  • Portfolio Servicing (13)
  • Fund Reporting (13)
  • Compliance (11)

Securities Lending Survey

League Tables

  • # 3 North America

Top Rated

  • North America

Commended

  • Global
  • $10B+
  • Europe
  • Single Provider
  • Multi-Provider

Best in Class – 9 Best in Class

  • Earnings Performance - North America
  • Relationship Management - North America
  • Client Service - North America
  • Product Development - North America
  • Reporting - North America
  • Operational Capabilities - North America
  • Compliance - North America
  • Multi-Provider - Client Service
  • Multi-Provider - Product Development

Hedge Fund Administration Survey

Top Rated

  • Greater than $5 Billion
  • Leading Clients
  • Hong Kong

Commended:

  • Less than $100 Million
  • $100 Million – $1 Billion
  • $1 Billion – $5 Billion
  • Single Strategy
  • Multi-Strategy
  • FoFs
  • North America
  • Europe
  • Asia
  • Single Provider
  • Multi-Provider
  • Global Scores
  • United States
  • Toronto
  • Singapore
  • Dublin
  • Bermuda

Best in Class – 34 Best in Class Awards

  • Client Service (2)
  • Value (2)
  • Fund Accounting (2)
  • OTC Derivatives (2)
  • Investor Services (2)
  • Investor Reporting (3)
  • Fund Manager Reporting (3)
  • Fund Structures (2)
  • Fund of Funds Administration (3)
  • Middle Office Services (2)
  • Regulated Funds (6)
  • Risk Management (3)
  • Technology (2)

Private Equity Fund Administration Survey

Top Rated

  • Less than $1 Billion

Commended:

  • Overall
  • $1 Billion - $10 Billion
  • North America
  • Asia-Pacific
  • Latin America
  • Single Provider
  • United States
  • Hong Kong

Best in Class – 23 Best in Class Awards

  • Client Services and Relationship Management (2)
  • Value (2)
  • Fund Establishment and Structuring (2)
  • Capital Drawdowns (3)
  • Investment Execution (3)
  • Accounting and Reporting to Limited Partners (2)
  • Accounting and Reporting to General Partners (2)
  • Distributions (3)
  • Reporting (2)
  • Corporate Secretarial (1)
  • Technology (1)
Global Finance

World’s Best Global Banks

  • Best Sub-Custody Bank

World’s Best Sub-Custodian Banks

Regional Winners

  • Latin America
  • North America

Country Winners

  • Argentina
  • Brazil
  • Colombia
  • Malaysia
  • Peru
  • Sri Lanka
  • United States
  • Venezuela
Global Investor

Beneficial Owners Survey

Overall

  • #2 – lendable assets (weighted)

Custodian Agent Lenders – Europe

  • #2 – lendable assets (weighted)

Custodian Services

  • #1 – Income generated
  • #3 – Settlement & responsiveness to recalls
  • #3 – Reporting capability
  • #3 – Costs

Global Custody Survey

  • #1 Institutional Fund Managers – Americas (weighted)
  • #1 Institutional Fund Managers – Americas (unweighted)
  • #1 Institutional Fund & Asset Managers – Americas (weighted)
  • #1 Insurance Companies (unweighted)
  • #1 Asia/Australasia (footprint)
  • #1 EMEA (footprint)
  • #2 Americas (weighted)
  • #2 Asia/Australasia (unweighted)
  • #2 Institutional Fund & Asset Managers – Americas (unweighted)
  • #2 Insurance Companies (unweighted)
  • #2 Respondents with > $1 billion AUM (unweighted)
  • #2 Insurance Companies (footprint)
  • #2 Respondents with > $1 billion AUM (footprint)
  • #2 Single Custodian Respondents (footprint)
  • #3 EMEA (unweighted)
  • #3 Institutional Fund & Asset Managers (unweighted)
  • #3 Mutual Fund Managers – EMEA (weighted)
  • #3 Mutual Fund Managers – EMEA (unweighted)
  • #3 Respondents with > $1 billion AUM (weighted)
  • #3 Mutual Fund Managers (footprint)
  • #3 Mutual Fund Managers – EMEA (footprint)
  • #3 Overall (footprint)

Equity Lending Survey

  • Ranked Number One – Market Capability (Emerging Markets)
  • Ranked Number Two – Breadth of Supply (Emerging Markets)
  • Ranked Number Two – One to Watch: Americas
  • Ranked Number Two – Asia Pacific (weighted)
  • Ranked Number Three – Overall (Unweighted)
  • Ranked Number Three – Overall (Footprint)
  • Ranked Number Three – Asia Pacific (Weighted & Unweighted)
  • Ranked Number Three – Custodial (Unweighted)
  • Ranked Number Three – Most Improved Lender : Overall
  • Ranked Number Three – One to Watch : Overall
  • Ranked Number Three – One to Watch : Asia Pacific

Equity Lending Survey

  • Global Custodian of the Year
The Securities Lending Industry Awards

Securities Lending Industry Awards

  • Equity Trader of the Year – Lender
ICFA

Americas Service Provider Awards

  • Custodian of the Year – Latin America

European Awards 2011

  • European Securities Services Provider of the Year
  • European Securities Lender of the Year
  • European Client Relationship Manager of the Year
  • European Mutual Fund Administrator of the Year
  • Regional Sub-custodian of the Year: South Europe
Hedge Funds Review

2011 European Fund of Hedge Funds Awards

  • Best Institutional Fund of Hedge Funds (FoHF) Provider
HFM

U.S. Hedge Fund Services Awards

  • Best Fund of Hedge Funds Administrator
MMI
  • OpenWealthSM – Managed Solutions Innovator of the Year
National Quality Review

5-Star Performance Rating

  • Telephone Services
  • Transaction Processing
Source Media

Mutual Funds Services Guide

  • #2 Ranking for Transfer Agency Services (based on # of clients)