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Client Status Report

IOOR Lead BAs – Tom T, Tom D, Steve A, Jan B, Nazeeb K, Chitra A
IOOR PM– Jennifer Brower

Key Contacts Client: XXX
Business: IT: Budget: IOO Tech Lead – Gabe C
Business PM–Randy O

Key Accomplishments Since Last Status This Week’s Plans
1. As of 11/18 at 9:00am, there are 3 SIRs: UAT: 2 (Under Investigation: 1; Open: 1) 1. Continue to work on resolving SIRs & provide L1s for new dockets.
Production: 1 (Need Info From Business/Tester : 1)
Assumptions, Risks, Issues and Dependencies
1. For docket 7108, the docket is settlement dated rather than trade dated cash.
Business Input Required / Flagged Issues: 2. Three dockets related to model accounts are on hold/deferred due to deferring of model
accounts to Day 2. Docket 7291 was placed on hold due to it being associated with model
1. Business to continue testing and provide feedback with SIRs, migration issues, etc.
accounts. Docket 7106 was added to include the elements of 7291 that dealt with live
2. Need requirements concerning scope and timeline needs for Phase 2 in order to ensure
accounts.
availability.
3. L1 estimates have a potential variance of 50%
3. Is docket 8409 related to Phase 2?
4. Go Live Phase 1: Completed on 10/1/2013
5. Dockets 7388, 7389, and 7291 are On Hold and will not be completed during Phase 1.

Actual IOOR IOOR
Req. Req. IOOR IOOR Target IOOR Actual IOOR Actual %
Name BA UAT Date Target Actual Status Notes
Attached Final L1 UAT UAT Date Start Comp.
(If Part 2) Prod Date Prod Date
Phase 2
8397 - FX Transaction Report for Accounts
1 ROMULUS and REMUS 10/22/13 N 118 1/1/14 10/22/13 0% Green Awaiting L1 Approval
2 8398 - Securities Trans 10/22/13 N 118 1/1/14 10/22/13 0% Green Awaiting L1 Approval
8399 - Holdings Report for Accounts ROMULUS
3 and REMUS 10/22/13 N 80 1/1/14 10/22/13 0% Green Awaiting L1 Approval
4 8409 - Income & Expense 10/24/13 N NA JB 10/24/13 0% Green Development
In Production
5 7113 - ISS Proxy Interface 8/10/12 Y 20 CA 12/1/12 10/11/12 10/1/13 10/10/12 100% Green In Production
6 7114 - ISS Class Action Interface - Transactions 8/10/12 Y 35 CA 12/1/12 10/22/12 10/1/13 10/11/12 100% Green In Production
7 7115 - ISS Class Action Interface - Holdings 8/10/12 Y 35 CA 12/1/12 10/22/12 10/1/13 10/11/12 100% Green In Production
8 7119 - AXA NAV Interface 8/10/12 Y 130 CA 12/1/12 9/7/13 10/1/13 8/15/12 100% Green In Production
9 7877 ‐ OAXAR:Trans File to NRT TBD Y NA TT 4/19/13 4/19/13 10/1/13 4/10/13 100% Green In Production
10 7779 - AXAR FXT0 Report for FX TBD Y 100 NAK 3/31/13 4/1/13 6/6/13 6/6/13 3/8/13 100% Green In Production
11 7109 - NT Base Client Account Master Interface 8/10/12 Y 90 CA 12/1/12 9/4/13 12/27/12 6/11/13 8/20/12 100% Green In Production
7295 - BO Cumulative Transmitted Interday BO
12 Cash Transaction Recon File TBD Y 135 CA 12/1/12 11/23/12 6/13/13 10/1/12 100% Green In Production

Page 1 of 3 Last Updated By: Jennifer Brower PMP, CSM
November 18, 2013
Client Status Report Project Status as of: 11/18/2013 9:00am

IOOR Actual IOOR IOOR
Req. Req. IOOR IOOR IOOR Actual %
Name BA Actual UAT Date Target Actual Status Notes
Attached Final L1 Target UAT Start Comp.
UAT Date (Part 2) Prod Date Prod Date
In Production Continued
13 7107 - NT Base Client Cash Forecast Interface 8/10/12 Y 145 TD 12/1/12 1/15/13 6/13/13 8/16/12 100% Green In Production
14 7110 - Untransmitted BO Cash Interface (NT6) TBD Y 105 TD 12/1/12 1/23/13 6/13/13 10/9/12 100% Green In Production
7292 - NT Base Client Monthly Closed Position
15 Interface 8/10/12 Y 170 SA 12/1/12 1/17/13 6/13/13 8/13/12 100% Green In Production
7106 - NT Base Client Position Interface - Live
16 Client Accounts 8/15/12 Y NA SA 12/1/12 1/24/13 6/13/13 8/29/12 100% Green In Production
17 7391 - BO EOD Cash Recon File (NT8) TBD Y NA JB 12/1/12 11/28/12 1/24/13 6/13/13 11/6/12 100% Green In Production
18 7293 - BO EOD Cash Recon File TBD Y 210 JB 12/1/12 12/12/12 1/25/13 6/13/13 11/28/12 100% Green In Production
19 7883 ‐ Change Request for 7592 ‐ 6g_AXAR_NT TBD Y NA CA 4/19/13 4/19/13 6/14/13 6/14/13 4/15/13 100% Green In Production
7414 - Create asset list for ARDI process, similar
20 to what is done in the RCM ARDI process TBD Y NA CA 12/1/12 12/17/12 6/14/13 6/14/13 12/10/12 100% Green In Production
21 7514 - Account Master File for NRT TBD Y 210 CA 12/1/12 11/26/12 6/14/13 6/14/13 11/12/12 100% Green In Production
22 7108 - NT Base Client Transaction Interface 8/10/12 Y 145 TT 12/1/12 1/10/13 6/14/13 8/13/12 100% Green In Production
23 7392 - BO EOD Stock Recon File (NT9) TBD Y NA TD 12/1/12 1/16/13 6/14/13 10/15/12 100% Green In Production
24 7592 - 6g_AXAR_NT Base Client OTE TBD Y NA CA 12/1/12 1/24/13 6/14/13 1/2/13 100% Green In Production
25 7122 - Data For NAV Recon TBD Y NA TT 12/1/12 1/23/13 6/14/13 10/10/12 100% Green In Production
26 7903 - Stale Price Report TBD Y 60 NAK 5/10/13 5/10/13 6/27/13 6/27/13 4/18/13 100% Green In Production
27 7474 - Passport Stale Price Report TBD Y NA NAK 12/1/12 1/29/13 6/27/13 6/27/13 12/24/12 100% Green In Production
7759 - OAXAR:Add MQ Delivery to Intraday Cash
28 Interface TBD Y 60 TD 3/20/13 3/18/13 6/30/13 6/30/13 3/8/13 100% Green In Production
29 7290 - NT Base Client Intraday Cash Extract 8/10/12 Y 170 TD 12/1/12 1/21/13 7/7/13 10/1/12 100% Green In Production
7760 - Add MQ Delivery to ASFA Holdings
30 Interface TBD Y 30 TT 3/28/13 3/20/13 7/22/13 3/8/13 100% Green In Production
31 7116 - ASFA Holdings XML Interface TBD Y 230 TT 12/1/12 12/24/12 7/22/13 7/22/13 10/22/12 100% Green In Production
32 7965 - Asset Detail TBD N NA SA 6/12/13 6/13/13 9/26/13 9/26/13 5/24/13 100% Green In Production
33 8170 - Executing Broker Commission Report 8/5/12 N NA SA 9/18/13 9/20/13 9/26/13 9/26/13 8/5/13 100% Green In Production
On Hold - Not Included in 10/1 Go Live
34 7291 - Position Interface for Model Accounts 8/15/12 N NA SA 12/1/12 8/29/12 86% Green 1/14: ON HOLD - Out of scope
1/14: ON HOLD - Linked to
7292, Only scheduling
7388 - Monthly Closed Position Interface - Model required/send file to different
35 Accounts TBD N NA CA 12/1/12 1/9/12 100% Green consolidation/location
1/14: ON HOLD - Linked to
7107, Only scheduling
required/send file to different
36 7389 - Cash Forecaster - Model Accounts TBD N NA CA 12/1/12 1/9/12 100% Green consolidation/location

Page 2 of 3 Last Updated By: Jennifer Brower PMP, CSM
November 18, 2013
Client Status Report Project Status as of: 11/18/2013 9:00am

AXA SIRs Change Request Tracking As Of 11/18/2013 9:00am
UAT
Creation
Sir# Short Description Priority Status Type BA Brag Status Notes
Date
7108: Transaction Interface: Unexpected Transaction in TDC
1 CHI-182464 Medium Under Investigation Change Request Janice Buikema Green 10/15/2013 Covered in 8409
account
2 CHI-182982 7108: Transaction Interface Duplicate Transactions Medium Open Issue Janice Buikema Green 10/22/2013 Covered in 8409

Production
Sir# Short Description Priority Status Type BA Brag Status Creation Date Notes
Need Info from
1 LON-7074 Docket 7291: NTBC Positions: Estimate to add QTY_AVAIL Medium Change Request Stephen Alvey Green 7/8/2013
Business/Tester

Page 3 of 3 Last Updated By: Jennifer Brower PMP, CSM
November 18, 2013