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Timetable and Thresholds

Prime Brokerage Survey

Prime Brokerage Survey

Thresholds

Minimum required to qualify for a rating*

30

Asset Categories

 

Less than $100 million

10 responses

$100 million - $1 billion

10 responses

$1 billion - $5 billion

10 responses

$5 billion - $10 billion

10 responses

More than $10 billion

10 responses

Strategy Categories

 

Single

15 responses

Multi-Strategy

15 responses

Region**

 

North America

20 responses

Europe

 20 responses

Asia-Pacific (excluding Japan)

15 responses

Japan

 10 responses

South Africa

10 responses

Australia

 5 responses

Canada

 5 responses
* Responses from affiliated organizations will not be counted
** Regions are determined by the location where a client is based

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined solely by where the respondent is based. For example, to qualify as a response for Europe, the respondent must be based in Europe.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location. (Location ratings are only given in our Private Equity Fund Administration Survey.)


Mutual Fund Administration Survey

Mutual Fund Administration Survey

Thresholds

Survey Rules and Procedures

Global 25 responses

Asset Categories

 

less than $100 million

5 responses

$100 million - $1 billion

5 responses

$1 billion - $5 billion

5 responses

More than $5 billion

5 responses

Strategy Categories

 

Equity

5 responses

Fixed Income

5 responses

Fund of Funds

5 responses

Other Funds

5 responses

Regions

 

North America

10 responses

Europe

10 responses
Asia-Pacific 5 responses

Middle East

5 responses

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined by where the client is based. While a single Respondent may rate more than one location, it may not rate more than one Region.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location. (Location ratings are only given in our Private Equity Fund Administration Survey.)


Mini Prime Brokerage Survey

Mini Prime Brokerage Survey

Securities Lending Survey

Securities Lending Survey

Thresholds

Survey Rules and Procedures

Intial number needed to qualify

10 responses (any combination of fund managers or investors)

 

 

RATING TYPE

THRESHOLD

 

 

Base Requirement

15 responses

 

 

Asset Size

 

Less than $1 billion

5 responses

$1 billion - $10 billion

5 responses

More than $10 billion

5 responses

Single or Multi-Provider

 

Single Provider

5 responses

Multi Provider

5 responses

Regions (based on where client is located)

 

North America

10 responses

Europe

10 responses

Asia/Australasia

5 responses

Middle East/Africa

5 responses

Global

rated in at least 2 regions and asset classes

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined by where the client is based. While a single Respondent may rate more than one location, it may not rate more than one Region.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location. (Location ratings are only given in our Private Equity Fund Administration Survey.)


Tri-Party Securities Financing Survey

Tri-Party Securities Financing Survey

Thresholds

Intial number needed to qualify

10 responses (any combination of fund managers or investors)

 

 

RATING TYPE

THRESHOLD

 

 

Base Requirement

15 responses

 

 

Regions (based on where client is located)

 

North America

15 responses

Europe

15 responses

Asia/Australasia

5 responses

Middle East/Africa

5 responses

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined by where the client is based. While a single Respondent may rate more than one location, it may not rate more than one Region.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location. (Location ratings are only given in our Private Equity Fund Administration Survey.)


Hedge Fund Administration Survey

Hedge Fund Administration Survey

Respondent Types

Intial number needed to qualify

15 responses (any combination of fund managers or investors)

RATING TYPE

THRESHOLD

Leading Client

Undisclosed

Asset Size

 

Less than $100 million

5 responses

$100 million - $1 billion

5 responses

$1 billion - $5 billion

5 responses

More than $5B

5 responses

Investment Strategy

 

Single Strategy

5 responses

Multi Strategy

5 responses

Fund of Funds

5 responses

Regions

 

North America

10 responses
Europe 10 responses

Asia/Australasia

5 responses

Middle East/Africa

5 responses

Global

2 regions and 2 locations and 2 asset classes and 2 strategies

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined by where the client is based. While a single Respondent may rate more than one location, it may not rate more than one Region.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location.


Agent Banks in Major Markets Survey

Agent Banks in Major Markets Survey

Thresholds

Survey Rules and Procedures

Market

Cross-Border/Non-Affiliated
Domestic/Non-Affiliated

 Australia

15 responses*

10 responses*

 Austria

15 responses*

10 responses*

 Belgium

15 responses*

10 responses*

 Canada

15 responses*

10 responses*

 Denmark

15 responses*

10 responses*

 Finland

15 responses*

10 responses*

 France

15 responses*

10 responses*

 Germany

15 responses*

10 responses*

 Greece

10 responses*

10 responses*

 Hong Kong

15 responses*

10 responses*

 ICSD

15 responses*

N/A

 Ireland

10 responses*

10 responses*

 Israel

10 responses*

5 responses*

 Italy

15 responses*

10 responses*

 Japan

15 responses*

 10 responses*

 Luxembourg

5 responses*

5 responses*

 Netherlands

15 responses*

10 responses*

 New Zealand

15 responses*

10 responses*

 Norway

15 responses*

10 responses*

 Portugal

15 responses*

10 responses*

 Singapore

15 responses*

10 responses*

 South Africa

10 responses*

10 responses*

 Spain

15 responses*

10 responses*

 Sweden

15 responses*

10 responses*

 Switzerland

15 responses*

10 responses*

 South Korea

20 responses*

10 responses*

 United Kingdom

15 responses*

10 responses*

 United States

20 responses*

15 responses*

 Asia/Australasia

 Providers must secure 15 CB/NA responses and scores of rateable standard from respondents who specified they were buying a multi-market service in every market within the region, or be rated in every market on a stand alone basis

 Nordic Region

Providers must secure 15 CB/NA responses and scores of rateable standard from respondents who specified they were buying a multi-market service in every market within the region, or be rated in every market on a stand alone basis

 North America

Providers must secure 15 CB/NA responses and scores of rateable standard from respondents who specified they were buying a multi-market service in every market within the region, or be rated in every market on a stand alone basis

 Western Europe

Providers must secure 20 CB/NA responses and scores of rateable standard from respondents who specified they were buying a multi-market service in at least six mar­kets in the region, or be rated in at least six markets on a stand alone basis

 Global

Providers must secure ratings in at least two regions
* providers will not be eligible for a rating in a market unless they offer a service in the local market (i.e. have a local presence)

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined by where the client is based. While a single Respondent may rate more than one location, it may not rate more than one Region.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location. (Location ratings are only given in our Private Equity Fund Administration Survey.)


Private Equity Fund Administration Survey

Private Equity Fund Administration Survey

Thresholds

Survey Rules and Procedures

Intial number needed to qualify

15 responses (any combination of fund managers or investors)

RATING TYPE

THRESHOLD

Fund Manager

5 responses

Institutional Investor

5 responses

Asset Size

 

Less than $1 billion

5 responses

$1 billion - $10 billion

5 responses

More than $10 billion

5 responses

Single or Multi-Provider

 

Single Provider

5 responses

Multi Provider

5 responses

Regions (based on where client is located)

 

North America

10 responses

Europe

10 responses

Asia/Australasia

5 responses

Middle East/Africa (in the case that someone has enough clients in this regions)

5 responses

Global

rated in at least 2 regions and asset classes

Locations (based on office being rated by client)

5 responses

Channel Islands

5 responses

Hong Kong

5 responses

London

5 responses

Luxembourg

5 responses

Paris

5 responses

Singapore

5 responses

United States

5 responses

Any Other Location

5 responses

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined by where the client is based. While a single Respondent may rate more than one location, it may not rate more than one Region.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location. (Location ratings are only given in our Private Equity Fund Administration Survey.)


Global Custody Survey

Global Custody Survey

Thresholds

Global Custody Survey (Fund Manager) Thresholds

20 responses worldwide

Global Custody Survey (Institutional Investor) Thresholds

20 responses worldwide

Asset Size

 

Less than $1 billion

5 responses

$1 - $10 billion

5 responses

More than $10 billion

5 responses

Regions (where client is based)

 

North America

10 responses

Europe

10 responses

Asia/Australasia

5 responses

Middle East/Africa

5 responses

Global

must be rated in both fund manager and institutional investor categories, all asset categories and at least two regions

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined by where the client is based. While a single Respondent may rate more than one location, it may not rate more than one Region.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location. (Location ratings are only given in our Private Equity Fund Administration Survey.)


Agent Banks in Emerging Markets Survey

Agent Banks in Emerging Markets Survey

Thresholds

Survey Rules and Procedures

Market

Proposed
CB/NA Threshold 2011

Proposed Domestic Threshold 2011

Market

Proposed
CB/NA Threshold 2011

Proposed Domestic Threshold 2011

Argentina

5 responses*

5 responses*

Mauritius

5 responses*

5 responses*

Bahrain

5 responses*

5 responses*

Mexico

15 responses*

5 responses*

Bangladesh

5 responses*

5 responses*

Morocco

5 responses*

5 responses*

Bermuda

5 responses*

5 responses*

Namibia

5 responses*

5 responses*

Brazil

15 responses*

10 responses*

Nigeria

5 responses*

5 responses*

Bosnia i Hercegovina
5 responses*
5 responses*

Oman

5 responses*

5 responses*

Botswana

5 responses*

5 responses*

Pakistan

10 responses*

5 responses*

Bulgaria

5 responses*

5 responses*

Palestinian Autonomous Area

5 responses*

5 responses*

Chile

5 responses*

5 responses*

Peru

5 responses*

5 responses*

China

20 responses*

15 responses*

Philippines

15 responses*

10 responses*

Colombia

5 responses*

5 responses*

Poland

15 responses*

10 responses*

Croatia

5 responses*

5 responses*

Qatar

5 responses*

5 responses*

Cyprus

5 responses*

5 responses*

Romania

5 responses*

5 responses*

Czech Republic

10 responses*

5 responses*

Russia

10 responses*

5 responses*

Dominican Republic

5 responses*

5 responses*

Saudi Arabia

5 responses*

5 responses*

Ecuador

5 responses*

5 responses*

Serbia

5 responses*

5 responses*

Egypt

10 responses*

5 responses*

Slovakia

5 responses*

5 responses*

Estonia

5 responses*

5 responses*

Slovenia

5 responses*

5 responses*

Ghana

5 responses*

5 responses*

Sri Lanka

5 responses*

5 responses*

Hungary

10 responses*

5 responses*

Swaziland

5 responses*

5 responses*

Iceland

5 responses*

5 responses*

Taiwan

15 responses*

5 responses*

India

20 responses*

15 responses*

Tanzania

5 responses*

5 responses*

Indonesia

10 responses*

5 responses*

Thailand

15 responses*

10 responses*

Jordan

5 responses*

5 responses*

Tunisia

5 responses*

5 responses*

Kazakhstan

5 responses*

5 responses*

Turkey

10 responses*

5 responses*

Kenya

5 responses*

5 responses*

Uganda 5 responses* 5 responses*
Kuwait 5 responses* 5 responses*

Ukraine

5 responses*

5 responses*

Latvia

5 responses*

5 responses*

United Arab Emirates

5 responses*

5 responses*

Lebanon

5 responses*

5 responses*

Uruguay

5 responses*

5 responses*

Lithuania

5 responses*

5 responses*

Venezuela

5 responses*

5 responses*

Malaysia

15 responses*

10 responses*

Vietnam

5 responses*

5 responses*

Malta 5 responses* 5 responses*

Zambia

5 responses*

5 responses*

      Zimbabwe 5 responses* 5 responses*
Asia/Australasia Providers must secure 15 CB/NA responses and scores of rateable standard from respondents who specified they were buying a multi-market service in every market within the region, or be rated in every market on a stand alone basis
Middle East Providers must secure 15 CB/NA responses and scores of rateable standard from respondents who specified they were buying a multi-market service in every market within the region, or be rated in every market on a stand alone basis
North America Providers must secure 15 CB/NA responses and scores of rateable standard from respondents who specified they were buying a multi-market service in every market within the region, or be rated in every market on a stand alone basis
Central and Eastern Europe Providers must secure 20 CB/NA responses and scores of rateable standard from respondents who specified they were buying a multi-market service in at least six mar­kets in the region, or be rated in at least six markets on a stand alone basis
Global

Providers must secure ratings in at least two regions

* providers will not be eligible for a rating in a market unless they offer a service in the local market (i.e. have a local presence)

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined by where the client is based. While a single Respondent may rate more than one location, it may not rate more than one Region.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location. (Location ratings are only given in our Private Equity Fund Administration Survey.)


Global Correspondent Clearing Survey

Global Correspondent Clearing Survey

OTC Derivatives Prime Brokerage Survey

OTC Derivatives Prime Brokerage Survey

Thresholds

Survey Rules and Procedures

Initial number needed to qualify

15 responses

 

 

Asset Size

 

Less than $100 million

5 responses

$100 million to $1 billion

5 responses

$1-5 billion

5 responses

$5-10 billion

5 responses

More than $10 billion

5 responses

 

 

Strategy

 

Single Strategy

5 responses

Multi Strategy

5 responses

 

 

OTC derivative agreement type

 
OTC Foreign Exchange 5 responses

OTC Commodities

5 responses

OTC Credit Derivatives

5 responses

OTC Interest Rate Derivatives

5 responses

Equity Derivatives

5 responses

Equity Total Return Swaps

5 responses

Cross-product Margining

5 responses

 

 

Regions (based on where client is located)

 

North America

10 responses

Europe

10 responses

Asia/Australasia

5 responses

Middle East/Africa

5 responses

Global

rated in at least 3 asset, 2 region, 1 strategy and 3 agreement categories

Affiliated responses will not be counted towards any of the rating categories for any given survey. Affiliated respondents are welcome to fill in surveys as their input can add value and color to research. An Affiliated Respondent is any organization affiliated with the administrator being assessed in the survey, through ownership or joint venture or business alliance. In cases where a Respondent from an affiliated organization responds on behalf of a non-affiliated organization, the submission is considered as affiliated.


Region is determined by where the client is based. While a single Respondent may rate more than one location, it may not rate more than one Region.


Location is determined by the office or service center that is servicing the needs of a client. In some cases, a single client may be serviced by several locations for all or only some services. Respondents should only rate the services that they receive from a specific location. (Location ratings are only given in our Private Equity Fund Administration Survey.)


Hedge Fund Business Model Risk Management Assessment Survey