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<br />22. <br />23. <br />24. <br />25. <br />26. <br /> <br />15. <br />16. <br /> <br />Bas a public sector client ever claimed in writing that your firm was <br />responsible for investment losses? (Explain) <br />Please include samples of research reports that your firm regularly <br />provides to public sector clients. <br />Please explain your normal custody and delivery process. Who audits these <br />fiduciary systems? <br />Please provide certified financial statements and other indicators <br />regarding your firms' capitalization <br />Describe the Capital line and trading limits that support/limit the office <br />that would conduct bulines. with our government. <br />What training would you provide to our employees and investment officers? <br />Bas your firm consistently complied with the Federalleaerve Bank's capital <br />adequacy guidelines? Aa of this date. does your firm comply with the <br />guidelines? Bas your capital position ever fallen short? By what <br />factor(1.S.2x.etc)doea your firm presently exceed the capital adequacy <br />guideline's measure of risk? Include certified documentation of your <br />capital adequacy as mea.ured by the Federal Reserve .tandards. <br />Do you participate in the S.I.P.C. insurance prosram? In not, explain why <br />not. <br />What portfolio information do you require form your clients1 <br />~t reports, transactions, confirmations and paper trail will ve receive? <br />Enclose a complete schedule of fee. and charles for various transactions. <br />Bow many and what percentage of your transactions failedlaat month? Last <br />year? <br />Describe the precautions taken by your firm to protect the interest of the <br />public when dealing with soverumental asencies as investors. <br />With whom are you doing business in the Aostin/SanMarcos/San Anto~;o area. <br />Are you represent ins a parent corporation on a subsidiary of anotner <br />corporat1on. If you are a subsidiary, will you furuish audit financial <br />statements on your parent corporation as veIl as your subsidiary? <br />For all employees listed in part 9 above please provide resumes of all <br />includins names of companies they have been associated. <br />Include banking references including officer contact names' telephone <br />numbers. <br />Do you give perfected security interest in securities under repurchase <br />agreements? <br /> <br />17. <br />18. <br /> <br />19. <br />20. <br />21. <br /> <br />27. <br />28. <br />29. <br /> <br />30. <br />31. <br /> <br />32. <br /> <br />FINANCIAL RATIO CRITERIA <br /> <br />1. <br />2. <br /> <br />Growth in current assets and current liabilities must be ~arallel. <br />Totalliab11ities, as a multiple of equity, must be less than a ratio of <br />20:1. <br />The total of securities owned and securities purchased under <br />agreement to resell (reverse repos) must be greatet' than the total of <br />short-term loans and securities sold under asreem.nts to repurchase <br />(Iepos). <br />Equity. as a percentage of total assets, must be S% or mot'e. <br />Growth in retained earnings must exceed 7% for the last to year.. <br />Equity growth must be pa~allel to asset and liability srovth. <br />The auditor's opinion must be unqualified. <br /> <br />3. <br /> <br />4. <br />s. <br />6. <br />7. <br /> <br />18 <br />