AUDIO/1: Summary List of Functions

Mutual Fund Applications

• Access an account by SSN
• Access help with the system
• User action - specific help function
• Exit the system to speak to a representative
• Transfer to individuals, extensions
• Leave a message
• Return to prior menus
• Skip ahead bypassing prompts
• Update/change their own PINS
• Customize Watch List
• Customize their IVR selections - Custom Track
• Obtain current fund price/yields
• Obtain historical fund price/yields
• Obtain customer account balances
• Obtain customer portfolio balances
• Obtain year-end account balances
• Obtain year-end tax information
• Obtain recent transaction history
• Obtain recent fund dividend/capital gains
• Obtain total return information
• Obtain stocks/bonds index updates
• Obtain Mutual Fund firm’s mailing address and instructions
• Hear recent information bulletins
• Hear fund investment objectives/descriptions
• Hear the mutual fund’s market outlook (by fund, sector, general)
• Last dividend transaction
• Last dividend transaction inquiry
• Dividend option change (rollover, check)
• Exchange transaction / exchange from one fund to another
• Wiring instructions
• Redeem by wire to bank account (same day)
• Redeem via check to home address and instruction
• Redemption transaction
• Redeem shares via ACH
• Purchase transaction
• Purchase shares via ACH
• Order duplicate tax forms
• Order duplicate account statements
• Order/reorder checkbook or check writing redemption book
• Order literature or application
• Request materials to be faxed
• Request responses by voice, e-mail, fax, and letter
• Portfolio review
• Marketing and Services messages, using Push Technology
• Other language capabilities

System Features

• Voice recognition capabilities
• Monitoring and security features
• FAX On Demand
• Customization for each client Private Label Funds
• Vocabulary design consultation
• Internet connectivity
• Call management reporting
• Real-time information retrieval
• Dedicated service and system contact
• Emergency backup to re-route calls to Recover Center
• Client can update their systems
• 24 hrs/7 days operation