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Prior to settlement date, the Iavestment 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 £ollow-up procedures may include: - 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 ifa fail has occurred. <br /> <br />City of San Marcos Investment Policy Page 42 <br /> <br /> <br />