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<br />I <br /> <br />I <br /> <br />I <br /> <br />Prior to settlement date, the Investment Adviser and broker/dealer exchange and review the <br />following settlement instructions to ensure prompt, and uninterrupted settlement. <br /> <br />- Name of third-party safekeeping agent. <br />- ABA number of safekeeping agent. <br />- Safekeeping account number. <br />- Amount of transaction. <br />- Settlement date. <br />- CUSIP number of security, if applicable. <br /> <br />V. SETTLEMENT AND FOLLOW-THROUGH <br /> <br />The Investment Adviser forwards a written trade ticket to the City Investment Officer and the <br />safekeeping agent <br /> <br />City follow-up procedures may include: <br />- Internal provision of receipt or disbursement of funds. <br />- Internal transfer or wiring of funds. <br />- Validation of written "safekeeping receipt". <br />- Immediate notification by the adviser if a fail has occurred. <br /> <br />City of San Marcos Investment Policy <br /> <br />Page 45 <br />