AN INNOVATIVE PARTNER FOR BROKER DEALERS. Powerful technology with dedicated client service

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1 AN INNOVATIVE PARTNER FOR BROKER DEALERS Powerful technology with dedicated client service

2 Computershare Broker Services brings new energy to the market, providing innovative technology and powerful tools, married with outstanding execution and an unwavering focus on client service. WE OFFER INTEGRATED SOLUTIONS FOR: PROXY AND REGULATORY COMMUNICATIONS LOST SECURITY HOLDER AND UNRESPONSIVE PAYEE OUTREACH CLASS ACTION SERVICES > 1

3 PROXY AND REGULATORY COMMUNICATIONS Proxy Solutions Computershare Broker Services is dedicated to providing a better experience for proxy distribution and presentment to broker-dealers and other financial intermediaries. Through our partnership with INVeSHARE, we bring together their groundbreaking technology with our scale of operations, quality control and expertise. We are devoted to providing attentive client service and highly customizable solutions. In addition, our business model enables significantly improved economic benefits. We have invested in the tools that assist broker-dealers in monitoring and managing regulatory communications, helping to ensure that compliance needs are met. Our tools create efficiencies in managing relationships with shareholders, investment managers and financial advisors, saving time and effort. Computershare has executed on some of the largest notice and access campaigns in the mutual fund industry. The Computershare and INVeSHARE integrated solution includes stringent quality controls that are audited as part of ISO 9001:2008 and SSAE 16 SOC 2 Type II certifications. Proxy Voting and Tabulation Computershare offers enhanced technology solutions for vote tabulation. Our Investor Portal can be embedded into your website with your look and feel, reinforcing your brand with your clients while giving them the ability to vote online. The Portal also provides clients with online access to shareholder communications in one convenient location. Mutual Fund, Prospectus and Regulatory Solutions Computershare is committed to managing the service and quality of prospectus fulfillment, prospectus updates and interims (including annual, semi-annual and regulatory reports) from end to end. We offer fully integrated print and electronic fulfillment solutions that meet compliance requirements while minimizing your costs. We also offer a technology solution that allows recipients to retrieve shareholder information directly from your website. As part of our service, we offer householding, suppression and document optimization, which reduce costs by decreasing the amount and size of mail sent to each residence. Our technology and resources make this process seamless and secure. Corporate Actions Computershare will work with you to help ensure that shareholders are promptly notified of voluntary corporate action events. We receive voluntary event notifications from our network of sources and quickly distribute them to impacted shareholders via print or electronic format. We will also print your broker-specific letter and ship it with official offer materials in a timely manner. A digital image of all materials will be available online for your shareholders and your team to access at their convenience. Shareholders can vote quickly and securely through VoteMyBallot.com, via mail or telephone, or via our patentpending technology, Vote From . Computershare is the leading tabulator of votes by registered shareholders, processing over 2.7 million votes per year. Computershare Broker Services

4 The Operations Dashboard allows operations teams to easily monitor the status of print and electronic deliveries and view electronic versions of all documents delivered. The platform can be used to quickly solve issues with material delivery and address inquiries from shareholders, increasing the efficiency of operations staff. The Advisor Dashboard enables your financial advisors to monitor document deliveries sent to shareholders. Details on document type, method of delivery and time of delivery are easily accessible through the Dashboard, reducing timeconsuming inquiries from the advisors. Investor Portal (EBIP compliant) provides access to shareholder communications, giving investors the ability to view and vote in one convenient location online. Vote From (patent pending) authenticates the shareholder, displays the ballot and allows secure voting within the investor s application on a computer, tablet or mobile device. VoteMyBallot.com enables shareholders to use their ballot control number to submit their vote online. The Managed Account Dashboard provides investment managers with a simple and convenient tool to vote their proxies. Managers can vote via an aggregated ballot or individual account basis, access a forward-looking calendar of upcoming proxy events and view historical vote records. INVeSHARE brings new energy to the shareholder communications market. We take a fresh approach to the business and provide broker-dealers with responsive service, advanced tools designed to solve broker-dealer needs and significantly improved economics.

5 LOST SECURITY HOLDER AND UNRESPONSIVE PAYEE OUTREACH Computershare and Georgeson, a Computershare company, partner to offer customized solutions to help broker-dealers comply with the amendment to SEC Rule 17Ad-17 and track down lost security holders and unresponsive payees. Broker-dealers are at risk of external audits, asset loss and not meeting compliance requirements as a result of the amendment to SEC Rule 17Ad-17. We can help mitigate these risks through compliance mailing management, proactive research and outreach, recordkeeping and escheatment filing. Benefits to you: > > Reduced Audit Risk Take all reasonable steps (research, mailings and telephone outreach) to find lost/inactive investors as well as unresponsive payees to reduce liability > > Cost Reduction Minimize expense related to compliance with SEC requirements and state escheatment laws > > Asset Retention Maintain assets under management through improved communications and reduced escheatment > > Security Investor data is kept on the secure system of Computershare, Georgeson s parent company, which hosts more than 110 million shareholder records worldwide > > Improved Compliance Assist your firm in understanding and complying with state unclaimed property laws throughout the process CLASS ACTION SERVICES With Computershare s class action services, brokers now have access to high-quality, cost-effective notice and settlement administration services. We have experience administering nearly 1,500 settlements, and our team knows firsthand the intricacies of securities class action matters. Members of our team have more than 20 years of experience in the resolution of securities litigation matters, including three of the largest securities cases on record for named defendants in the insurance, rehab health care and mortgagelending industries. The suite of solutions we offer to reach class members in securities settlements includes legal notification campaigns, case-specific websites and IVRs. In the past 12 months, our team has administered more than 55 securities settlements, including shareholder and merger litigation, 10b-5 cases and mutual fund matters. As the only claims administrator to adhere to the auditing standards outlined in AT Section 101, our proprietary technology and data-handling processes set the industry standard for security, cost efficiency and quality. Our capacity, data-security measures and distribution processes can handle settlements, communications and distributions of all sizes and complexity. > > Flexibility Choose the depth of service that meets your needs and budget Georgeson, a Computershare company, pioneered the unclaimed property search business, and since 1990 has reunited shareholders and investors with their assets through transparent communication. KCC is a Computershare company and its domestic infrastructure is the largest in the industry; it includes a 900-seat call center and can handle hundreds of millions of documents annually.

6 ABOUT COMPUTERSHARE BROKER SERVICES Computershare Broker Services is a subsidiary of Computershare Ltd. (ASX: CPU), a global leader in transfer agency, employee equity plans, proxy solicitation and other specialized financial, governance and communication services. Many of the world s largest companies employ our innovative solutions to maximize the value of their relationships with investors, employees, customers and members. Computershare has over 15,000 employees across the world and serves 17,000 corporations and 100 million shareholder and employee accounts in 17 countries across five continents. For more information, contact us at brokerservices@computershare.com or Copyright 2015 Computershare Limited. All rights reserved. BrokerServices_US_CBS_092115