CACEIS NEWS 36

EVENTS

No. 36 - January 2014 - caceis news 7

ISO 9001 certifications renewed for custodian banking and fund administration activities in France

CACEIS activities audited under the ISAE 3402- SSAE16 standards

In Belgium, France, Luxembourg, Deloitte performed tests with all teams concerned between November 2013 and January 2014.

The ISO 9001 audit conducted during November 2013 was a success, with many strengths and attributes identified within the certification scope (CACEIS Fund Administration, Middle-Office, Reporting and

I n its reports, the audit firm attests that the controls are in place and effec- tive for all activities covered: Custody, Fund Administration, Transfer Agency, Depositary, Corporate Trust and Dealing Activities of CACEIS. CACEIS adopted the the ISAE 3402– SSAE16 standards applicable to its per- manent control compliance regularisation programme, as soon as they came into force on June 2011: ▷ In North America, CACEIS has obtained the SSAE16 / ISAE3204 standard. The re- sults of the audit were published by Ernst & Young on 21 December 2011. ▷ In Germany, CACEIS’s services also meet

the ISAE 3402 – SSAE16 standards since 2013. High service quality has always been a pri- ority for CACEIS and significant resources are in place to control and monitor all key processes throughout the entire organisa- tion. CACEIS is dedicated to achieving the highest quality standards for custody and fund administration through the rigorous annual processes of ISO 9001 certification and ISAE 3402 – SSAE16 auditing. Both of these quality assessment procedures help to build trust with clients as well as their investors by establishing standardised methods of operation and effective process controls ■

CACEIS Bank France, including Depositary Control).

C ertification body, AFNOR, highlighted cross-functionality at work within and between departments, collaborative im- provement initiatives and employee-oriented actions, each contributing to CACEIS atten- tiveness to customers. The auditors highlighted CACEIS’s reliability, innovation and productiv- ity policy, supported by appropriate manage-

ment and commitment approach of team. The certificate acknowledges the work, profes- sionalism and commitment of each staff mem- ber at CACEIS. This audit brings to a new three-year ISO cer- tification cycle, confirming the ongoing desire of CACEIS to improve the service provided to its clients ■

CONFERENCES Q1 2014

IN THE PRESS Q4 2013

24 January 2014 OPCI 2014 Paris “Cash monitoring & transparency” Walid Mounaouir, Head of Private Equity Real Estate Servicing, CACEIS, France

5-6 February 2014 Fonds’ 2014 Die Schweizer Finanzmesse Zurich 24-27 February 2014 Super Return Private Equity Forum Berlin Chairman, Stream E “ Emerging Markets ” Barry McGloin, Business Development Manager, CACEIS

October 2013 Global Custodian News

20 March 2014 Forumde la Gestion Institutionnelle Paris

“Collateral Express” Laurent Durdilly , Group Product & Solutions Director, CACEIS October 2013 FTSE Global Markets “Alternative Investment Servicing” Serge Weyland , Head of Regional Coverage, UK and North American clients November 2013 Handelsblatt “AIFMD” Holger Sepp , Co-Head, CACEIS, Germany November 2013 InstitINVEST “Accounting roundtable” Philippe Bigeard, Business Development Director, CACEIS December 2013 L’Agefi Hebdo “PMs outsource the Middle-Office” Laurent Durdilly , Group Product & Solutions Director, CACEIS ■

20 March 2014 Morningstar Awards France Paris 25-26 March 2014 EDHEC Risk Days Europe 2014 London “ Measuring Risk Diversification of Indices ” Joe Saliba, Deputy CEO, CACEIS

29-31 January 2014 Context Summit Miami 18-19 February 2014 BSI Summit Frankfurt

26 February 2014 Trends &Morningstar Fund

Summit Brussels

26-28 March 2014 Il Salone del Risparmio Milan 27-28 March 2014 Morningstar Investment Conference Europe Amsterdam

25-28 February 2014 International Transfer Agency Summit (ITAS) Luxembourg Laurent Majchrzak, Head of Operational Line – FDS, CACEIS

31 March – 3 April Morningstar Awards France Hong Kong Laurent Majchrzak, Head of Operational Line – FDS, CACEIS ■

18-19 March 2014 ALFI Spring Luxembourg

19 March 2014 Fund Awards Belgium Morningstar Brussels

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