Account Record Information System (ARIS)

According to the SEC Rule 17a-3(a)(17)(i)(B)(1), account information mailers must be sent to account holders to verify the correctness of account information within 30 days of account opening and within every 36 months thereafter for the duration the account is active.

Accounts Record Information System (ARIS) automates the maintenance of account information and facilitates a timely verification of information correctness by clients/account holders.

The following are key features of ARIS:

• Database repository for account information
• User interface (GUI) to access account information
• Printing of account record information reports
• Alert mechanism for account information mailers to be sent to clients based on last update