SunGard iworks Investments 2012 Education Catalog

Transcription

1 SunGard iworks Investments 2012 Education Catalog For Training Inquiries Call: Your National Account Manager SunGard iworks (303) DTC Parkway, Suite 600 (303) /fax Greenwood Village, CO 80111

2 Critical Training for Your Success! SunGard iworks provides learning opportunities to help you meet your educational goals and improve operational efficiency. Keep your knowledge up-to-date regarding the unique attributes of investments, new investment offerings, and the Statutory, GAAP, TAX and IFRS accounting requirements. Ensure that your iworks Investments product knowledge is complete, allowing you to work efficiently and effectively with your SunGard solution. Understand your best practices tips and tricks to customize our solutions to meet your business needs. Learn automation capabilities for transactional processing, external data updates and reconciliation. Create custom reports to provide key business updates for your organization. Set up the General Ledger in iworks Investments to take advantage of the capability to export entries from your investment system to your financial reporting system. Take advantage of SunGard s professional development sessions to learn a wide range of skills to be able to adapt quickly to an ever-changing business environment. Have you been asked to achieve more with your SunGard systems? Are your investment and business reporting needs changing? Do you want to take advantage of SunGard s significant product functionality? Are you in need of Custom Reports training? Do you have new staff needing basic investment system training? Do you need training on industry hot topics and regulatory updates, as well as strategies for implementing the new guidance? SunGard iworks offers a variety of training solutions for your organization. See what sets us apart: Industry, regulatory and accounting knowledge targeted at key issues for the insurance industry In depth knowledge on how to implement regulatory requirements in your SunGard solutions Release training to help you take advantage of new features quickly Focus on how to integrate your SunGard solutions Interactive training courses to help you engage in course topics Highly-rated instructors NASBA Registered Sponsor Administrative Notes: SunGard iworks is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: For Training Cancellation or Complaints Call: Training Development SunGard iworks (303) DTC Parkway, Suite 600 (303) /fax Greenwood Village, CO For more information regarding administrative policies such as complaint, refund and cancellation or if you need assistance with CPE certificates, please contact our offices at (303) SUNGARD iworks Revised 06/12 Page 2

3 Table of Contents GROUP/PRIVATE TRAINING PROGRAMS... 4 iworks Investments Best Practices Training Programs (Group\Private)... 4 iworks Investments Best Practices Workflow Observation (Private)... 6 System Optimization Training (Group\Private)... 7 Custom Reports Module (CRM) Training (Group\Private)... 8 MBS/CMO/ABS Securities Processing (Group\Private)... 9 Understanding SSAPs for Schedules D, DA, E, BA, and DL (Group)...10 Year-End Preparatory Training (Group)...12 SunGard iworks Summit Client Conference (Group)...13 PRIVATE TRAINING PROGRAMS Import/Export Manager (UAT) (Private)...14 Enterprise Reconciliation Manager (ERM) (Private)...15 General Ledger Implementation (Private)...16 iworks Investments Basic System & Custom Reports Training (Private)...17 iworks Investments Optional Modules, Workflows, and Theory Training...18 Registration Form-iWorks Investments Best Practices Group Registration Form-Private iworks Investments Best Practices (Custom) Registration Form-System Optimization Workshop Registration Form-Custom Reports Module (CRM) or MBS/CMO/ABS Registration Form-Understanding SSAPs or Year-End Preparatory Private Training Interest Form For Training Inquiries Call: Your National Account Manager SunGard iworks (303) DTC Parkway, Suite 600 (303) /fax Greenwood Village, CO SUNGARD iworks Revised 06/12 Page 3

4 GROUP/PRIVATE TRAINING PROGRAMS We are pleased to provide several group training programs held at regional locations. iworks Investments Best Practices Training Programs (Group\Private) iworks Investments Best Practices-Maximize Your Investment Processing Efficiency and the Accuracy of Quarterly and Annual Statement Filing This three-day intermediate course is designed to discuss the SunGard recommended best practices for entering and maintaining your investment activity and preparing your system setup, data update and validation procedures for quarter- and year-end statutory filing. This is discussed for all areas of the iworks Investments application. Each discussion topic includes: Summary of best practices Workflow recommendations Frequently asked questions Examples of poor vs. best practices Break out session DAY ONE Day one focuses on learning how implementing best practices will increase your efficiency and accuracy of financial reporting. Investment topics discussed on day one include securities processing best practices. Investment processing topics include detailed discussions of best practices for: Security attributes Statutory requirements Key components of initial acquisition and ongoing maintenance required Learning Objectives for Day 1: Learn how implementing best practices increases the efficiency and effectiveness of your financial reporting Focus on best practices throughout your iworks Investment system Investment workflow topics include: Standard bonds More complex bonds including variable coupon, medium term notes, option calls and sinking fund features, strips and hybrids, To Be Announced Convertible bonds Treasury inflation protected bonds Cash, cash equivalents, and short term bonds Money market funds Common Stocks DAY TWO Day two continues the detailed discussion of best practices for investment processing with more complex securities. Focus also includes learning validation strategies to assure that system fields are compliant with regulatory filing requirements and understanding key data elements that affect accruals, amortization and yields and recommended procedures for validating selection and external data updates. SUNGARD iworks Revised 06/12 Page 4

5 Learning Objectives for Day 2: Investment workflow topics include: Preferred Stocks Standard MBS, CMO, ABS More complex CMOs including IO, IOette, PO and accreting CMOs Schedule BA assets Learn to reduce data inconsistency with Acquisition Templates Learn validation strategies to assure that system fields are compliant with regulatory requirements Understand key data elements that affect accruals, amortization and yields and recommended procedures for confirming settings and external data updates How to research amortization and accrual issues Understand best practices for transaction processing workflows Impact of Transactional Processing Data Storage Levels and Transactions Logging into Periods Understand when is the best time is for your organization to execute a hard close Test your error identification skills in a workshop format Understand exception processing procedures Determine best choices for how you make data corrections with transactional processing Learn how to correct issues from error identification skills in a workshop DAY THREE Day three addresses best practices for transaction processing, data review and correction and reporting workflows. Session also focuses on validating STAT and GAAP requirements. A key focus of the session is discussing recommended monthly processing, quarter-end and year-end procedures and strategies for how to incorporate checklist tools into your processes. And many other tips and tricks to use your system effectively! Learning Objectives for Day 3: Review STAT and GAAP fair value accounting guidelines and FAS implementation Learn validation strategies to assure that system fields are compliant with Fair Value Accounting requirements Understanding Filing Exempt, RMBS/CMBS Modeling, Modified FE and the SVO Filing Manager Understanding Requirements Understanding SVO Filing Manager NAIC Code and ARO Code Table Requirements Understand best practices for Other Than Temporary Impairments from a STAT and GAAP perspective and understand what events can trigger the need for a subsequent impairment Learn validation strategies to assure that system fields are compliant with OTTI requirements Discuss recommended monthly processing, quarter-end and year-end procedures and strategies for how to incorporate checklist tools into your processes to complete year-end and finalize your reporting values 30-Regulatory and System Standard Reports Understand how to generate quarterly and annual statement reports and export files Obtain skills to create archive reports to retain historical data Save time generating reports with global filters and batch capabilities Strategies to shorten monthly processing SUNGARD iworks Revised 06/12 Page 5

6 Understand key system fields that affect classification of securities on IMR/AVR, RBC, RSA (optional module), Summary Investment Schedule and Exhibits and how to validate these fields Learn best practices for view and inquiry customization Utilize RPA module for prior period reporting and inquire System Optimization Workshop Permissions Review Gain understanding of best practices for upgrades, backup and passwords Foreign Currency Best Practices The iworks Investments Best Practices for Quarterly and Annual Filing training course will be instrumental in helping you understand what needs to be updated in your database for accurate regulatory annual statement reporting and roll-forward purposes. Get your questions answered by SunGard experts. Regional iworks Investments Best Practices Training Dates: July New York, NY August Atlanta, GA October Chicago, IL November Denver, CO Private iworks Investments Best Practices Training: Private training programs are also available. Program can be extended to cover additional topics. Training can be held either at your office or in the Denver SunGard office. Program Level: Intermediate CPE Credits: 24 Prerequisites: Basic iworks Investments System Training-REQUIRED Advance Preparation: None Delivery Method: Group-Live Who Should Attend? iworks Investments clients who are ready to for more in-depth system training focusing on best practices and processing procedures. iworks Investments Best Practices Workflow Observation (Private) Take advantage of the SunGard Professional Services team s wealth of experience and insight from working with a wide variety of clients and consulting projects: Customize the best practices experience to meet the needs of your organization SunGard staff will work side-by-side with your team to gain an understanding of your current practices and then provide a summary document detailing these observations and recommendations Gain the understanding you need to re-tool your workflows to take advantage of best practices recommendations Your National Account Manager can provide more information on these services. SUNGARD iworks Revised 06/12 Page 6

7 System Optimization Training (Group\Private) This two-hour web-based session will discuss SunGard s recommended best practices and workflows for optimizing your iworks Investments system. Understand the different types of purge options now available in your system. Learn the impact of system purge, data rollup and hard close options. We will review key system settings that impact automated data management. Learn how to take advantage of iworks Investments internal and external utilities to help manage data stored in the database. Gain insights on SunGard s recommendations for when to purge data from your system and how to create the proper controls and permissions around these processes. We will also discuss capabilities to customize your system screens and inquire views to streamline your core workflows. Course also includes an iworks Investments System Optimization checklist to guide you or your corporate IT support through the workflows. The checklist can also be used to document your decisions for internal audit or Sarbanes-Oxley controls. Be able to demonstrate that your company has a methodology in place to provide proper security for invested assets and data retention. Session ends with an open forum for client questions to be answered by SunGard experts. Learning Objectives: Gain an understanding of: o Understand the different types of Purge in iworks Investments o Learn options for both manual and automated Purge o Learn options for both manual and automated Hard Close and how to delete a Hard Close o Understand impact on system reporting after running these tools o Define System Settings, Permissions, and Logs o Learn about utilities for system optimization o Gain insights on Inquire view settings and how they can be defined to optimize data viewing o Discuss impact of optional modules on data storage o System Optimization Checklist with recommended workflow will be provided and can be used to document your company s preferred settings o Discuss best practices with a SunGard expert Group Web-Based Training Dates: June 14 Web-Based June 15 Web-Based Private System Optimization Training: Private training programs are also available via the web. Program Level: Basic Prerequisites Required: None Advance Preparation Required: None Delivery Method: Group-Internet CPE Credits: 2 SUNGARD iworks Revised 06/12 Page 7

8 Custom Reports Module (CRM) Training (Group\Private) Custom Reports Module (CRM) Gain skills to create custom reports to enhance presentation of critical business reporting. Learn how to create reports to help you verify your data. This two-day course is designed to teach basic report writing capability of the Custom Reports Module. Day one is designed as a hands-on course utilizing either your live data or a test environment; you will be able to directly apply what you learn in this course to creating custom reports for your reporting needs. The focus is on understanding how to basic custom report design skills, including placing data fields on your reports, sorting, grouping data and basic summary functions. You will learn to create and format basic custom reports, as well as the CRM Default Fields list. Day two focuses on writing capabilities and more advanced features of the Custom Reports Module. Discussion includes a strategy for building more complex reports, including design concepts, giving you the capability to be more creative when implementing new reports. The primary focus is on understanding complex formulas and parameters, running totals, formula group by options, combining security and transaction data on same report and combining data from multiple prior periods on the same report. Session focuses on working with you to develop your specific reports. CRM Module is required. Learning Objectives: Explain and utilize the CRM Field Listing Create basic/intermediate CRM Reports in your SunGard system Create sorting rules to control the presentation of data within your groups Complete basic formatting on your reports Insert groups on your reports and create group formulas for more complex grouping requirements Complete conditional and more complex formatting on your reports Create formulas and parameters Create reports that present both Security and Transaction level data on the same report Hands-On Custom Reports Module (CRM) Training Dates: July Denver, CO Private Custom Reports Module (CRM) Training: Private training programs are also available. Program can be extended to cover additional topics. Training can be held either at your office or in the Denver SunGard office. Level of Difficulty: Basic CPE Credits: 16 CPE Credits Prerequisites: None Advanced Prep: None Delivery Method: Group-Live - Hands-on training with guide and client-directed discussion Applicable Products: Investment Management, Investment Accounting, or BPO Who Should Attend? Investment application clients who need detailed training on how to write reports SUNGARD iworks Revised 06/12 Page 8

9 MBS/CMO/ABS Securities Processing (Group\Private) MBS/CMO/ABS Securities Processing Gain an understanding of how to process and maintain these complex securities This one-day course focuses on the unique processing requirements of Mortgage Backed Securities, Collateralized Mortgage Obligation and other Asset Backed Securities. By attending this session, you will increase your understanding of the fields required to achieve desirable results in both processing and reporting. Additionally, learn how and why you should update important market information, such as the prepayment speeds and cash flows, and their impact on amortization and yields. The session also discusses more complex types of CMOs including IOs, POs, Accrual Bonds, CBOs, and CDOs and their processing requirements. By attending this session, you will increase your understanding of the key fields required to trigger special processes for correctly calculating and reporting on these investments. Learning Objectives: Identify Mortgage-Backed, Collateralized Mortgage Obligations, and Asset-Backed Securities Explain additional data requirements for accurate system calculations Learn to enter these securities in your SunGard system and post income and principal accretions or reductions Understand properly classify and report on these investments for regulatory reporting: Residential Mortgage-Backed Securities, Commercial Mortgage-Backed Securities, and Other Asset Backed Securities STAT 43R and FSP FAS impairment requirements Know the key external data fields that require periodic update to assure proper expected record generation and yield and value calculations based upon changes in the market Hands-On MBS/CMO/ABS Training Dates: July 25 Denver, CO Private MBS/CMO/ABS Training: Private training programs are also available. Program can be extended to cover additional topics. Training can be held either at your office or in the Denver SunGard office. Level of Difficulty: Basic CPE Credits: 8 CPE Credits Prerequisites: None Advanced Prep: None Delivery Method: Group-Live (Private training options are available, ask for details.) Applicable Products: Investment Management, Investment Accounting, or Investment Regulatory Who Should Attend? Investment application clients who would like more information on proper accounting for MBS, CMO, and ABS securities SUNGARD iworks Revised 06/12 Page 9

10 Understanding SSAPs for Schedules D, DA, E, BA, and DL (Group) Understanding Statutory Regulatory Requirements Understand the Statutory Requirements for Annual and Quarterly Statement Filing This one-day, web-based course provides an update on statutory requirements. Session also provides an update of the 2012 requirements. If you are new to statutory requirements or just need a refresher you will find this session beneficial. Topics discussed include fundamental SSAP concepts Preamble SSAP No. 4 Assets and Non-admitted Assets SSAP No. 20 Non-admitted Assets SSAP No. 21 Other Admitted Assets SSAP No. 5 Liabilities, Contingencies and Impairments of Assets SSAP No. 1 Disclosure of Accounting Policies, Risks & Uncertainties, and Other Disclosures SSAP No. 3 Accounting Changes and Corrections of Errors SSAP No. 9 Subsequent Events Filing Exempt, RMBS/CMBS Modeling, and Modified FE Requirements Detailed discussions focus on SSAPs related to Investments: SSAP 26 Bonds, Excluding Loaned-Backed Securities SSAP 43R Loan-Backed and Structured Securities SSAP 2 Cash, Drafts, and Short-term Investments SSAP 30 Investments in Common Stock SSAP 32 Investments in Preferred Stock SSAP 34 Investment Income Due & Accrued SSAP 40 Real Estate Investments SSAP 23 Foreign Currency Transactions and Translations SSAP 100 Fair Value Measurements Updates are provided on SSAPs for Affiliated Investments including: SSAP No. 25 Accounting for and Disclosures about Transactions with Affiliates and Other Related Parties SSAP No. 97 Investment in Subsidiary, Controlled, and Affiliated Entities SSAP No. 48 Joint Ventures SSAP No. 68 Business Combinations and Goodwill Learning Objectives: Gain an understanding of SSAP fundamental concepts Understand current requirements for Non-Affiliated Investments Obtain basic understating of requirement for Affiliated Investments Update on 2012 regulatory requirements SUNGARD iworks Revised 06/12 Page 10

11 Web-Based Understanding SSAPs for Schedule D, DA, E, BA, and DL Training Dates: November 14 Web-based December 12 Web-based Program Level: Basic CPE Credits: 6 Prerequisites: Basic understanding of investments Advance Preparation: None Delivery Method: Group-Internet SUNGARD iworks Revised 06/12 Page 11

12 Year-End Preparatory Training (Group) Year-End Preparatory Training This program focuses on critical steps required for annual statement filing This two-day, web-based course provides a basic understanding of how to prepare your data for year-end reporting and statutory filings. The first day focuses on understanding critical system tables for Annual Statement filing, amortization and accruals, security classification, key external data that impact securities reporting values and yields, NAIC Automated Valuation Service processes for updating quality and classification of assets, and handling exception processing. A key focus of this discussion includes Schedule D, DA, E, BA part-by-part and column-by-column reporting requirements and how to reconcile back to these values. A year-end checklist, as well as a Frequently Asked Year End Questions, is discussed in detail. The second day explores how your SunGard system can assist you with meeting your compliance requirements - regulatory, as well as Sarbanes Oxley. Discussion includes the topics of security valuation and impairment, as well as analysis reporting. Filing exempt rules for security designations are covered. The discussion includes Fair Value accounting, FAS 157 and 159 & SSAP 100, FSP FAS and FAS and 43R write downs, as well as the OTTI Impairment module, allowing the creation of custom criteria to assess potential impairment. Statutory IMR/AVR reporting options and system implementation are addressed. Further, the discussion includes Risk & Sensitivity Analysis (RSA) module reporting, Risk Based Capital reporting, and Reporting Period Archive (RPA) module workflows. Ready to move ahead before finalizing your year-end numbers? Future dated processing options are also covered. The Year-End Preparatory Training course is instrumental in helping you to understand what needs to be updated in your database for accurate regulatory annual statement reporting and rollforward purposes. Each day ends with an open forum to allow client questions to be answered by SunGard experts. Learning Objectives: Gain an understanding of statutory filing requirements, Schedule D, DA, E, and BA Learn security classification and presentation of data Review steps to take to complete year end preparation Understand basics of Fair Value accounting and SSAP 100 implementation Understand basic OTTI, FSP FAS 115-2, FAS 124-2, and 43R implementation Understand objectives of IMR/AVR, RSA, RBC reports Implementation of SVO Filing Manager Web-Based Year-End Preparatory Training Dates: November Web-based (2012 focus with Q1 2012) December Web-based (2012 focus with Q1 2012) Program Level: Basic CPE Credits: 12 Prerequisites: Basic System Training Advance Preparation: None Delivery Method: Group-Internet SUNGARD iworks Revised 06/12 Page 12

13 SunGard iworks Summit Client Conference (Group) SunGard iworks Summit 2012 The Phoenician in Scottsdale, AZ September 9-12, 2012 We are pleased to host this year s iworks Summit in Scottsdale, AZ. We invite you to join us for this year s conference, exclusively for insurance clients, from September 9 12 at The Phoenician Resort. Don t miss this opportunity to: Learning Objectives: Take advantage of over 100 product and industry sessions, join informative presentations on industry hot topics, learn tips, tricks and best practices Learn about upcoming regulation changes from industry experts Obtain critical product training on your SunGard solutions Gain insights on how other SunGard iworks clients are utilizing iworks solutions Interact with iworks executives and staff, and network with other insurers to exchange practical strategies and ideas Research vendor solutions at the exhibit hall Save the date - you won't want to miss this opportunity. Watch for an announcement with details regarding early-bird registration! SUNGARD iworks Revised 06/12 Page 13

14 PRIVATE TRAINING PROGRAMS We are pleased to provide personal, customized training at your location or in our corporate offices. These programs can be designed to cover topics of your choice. Our consultants will work with you to find ways to improve your monthly processing activity. Private training includes attendance of up to four individuals. Please contact your National Account Manager at (303) Import/Export Manager (UAT) (Private) Import/Export Manager (UAT) Take advantage of SunGard s powerful automation tool to import transactions and external data updates. Save time and improve accuracy! This one-day course allows you to work with your own data file and learn how information provided from your custodian bank or other service is imported into your investment system. The course helps you understand the data import process, system defaults, and customization of your Import/Export Manager (UAT) defaults. Discussion includes how to reconcile investment system data and your custodian bank statements. Import format is required to be purchased from SunGard. Each bank format is unique, so if you are implementing multiple formats, then additional formats and training time will be required. Import/Export (UAT) Module is required. Learning Objectives: Implement Import/Export Manager (UAT) format into your SunGard system Customize Import/Export Manager (UAT) mapping fields to meet your specific database requirements Import, review and release transactions both into and out of the Pending Queue Define criteria for transaction match to system expected records Understand key fields that impact expected transaction generation Create a sample export format and review transaction output Explain manual reconciliation techniques Level of Difficulty: Basic CPE Credits: 8 CPE Credits Prerequisites: None Advanced Prep: Obtain bank file for testing and sign-off for compatibility to bank format Delivery Method: Group-Live or Group-Internet-Based Applicable Products: Investment Management or Investment Accounting Who Should Attend? Clients who would like to automate transaction- and holding-level data posting and updates to their investment system SUNGARD iworks Revised 06/12 Page 14

15 Enterprise Reconciliation Manager (ERM) (Private) Enterprise Reconciliation Manager (ERM) Take advantage of SunGard s powerful automated reconciliation tool to automate the comparison and variances identification between system data and electronic source files. Save time and improve accuracy! This one-day course allows you to automate the reconciliation between third-party files and SunGard system data. Most commonly, this would be either custodian bank or money manager holdings or transactions files. The course helps you understand the data match and compare rules, how to identify exceptions, and maintain historical reconciliations for later audit review or reporting. Reconciliation format at the transaction or holding level is required to be purchased from SunGard. Each bank reconciliation format is unique, so if you are implementing multiple reconciliations, additional formats and training time will be required. Enterprise Reconciliation Manager (ERM) module is required. Learning Objectives: Import reconciliation and transaction formats into your SunGard system Customize Match, Compare and Tolerance settings to meet your specific database requirements Create a reconciliation for a specific period Import SunGard and external data for comparison Identify and clear variances Classify a specific reconciliation as historical for later viewing Level of Difficulty: Basic CPE Credits: 8 CPE Credits Prerequisites: None Advanced Prep: Obtain bank file for testing and sign-off for compatibility to bank format Delivery Method: Group-Live or Group-Internet-Based Applicable Products: Investment Management or Investment Accounting Who Should Attend? Investment application clients who would like to automate the reconciliation of transaction- and holdings-level data updates to their investment system SUNGARD iworks Revised 06/12 Page 15

16 General Ledger Implementation (Private) General Ledger Take advantage of SunGard s general ledger capability to create entries and automate the export to external general ledger systems. Save time and improve accuracy! This course allows you to build your general ledger chart of accounts and to gain a basic understanding of G/L output data from your SunGard system. Automating the general ledger can provide time savings during monthly processing. Learning Objectives: Explain the Account List functions Review existing chart of accounts and indentify required criteria to create G/L definitions Build criteria, account setups and join conditions Define system level fields that control G/L output options Create G/L reports and understand reporting options Understand how to test a newly setup G/L Level of Difficulty: Basic CPE Credits: 8 CPE Credits Prerequisites: None Advanced Prep: None Delivery Method: Group-Live or Group-Internet-Based Applicable Products: Investment Management, Investment Accounting, or Investment Regulatory Who Should Attend? Investment application clients who would like to automate the general ledger SUNGARD iworks Revised 06/12 Page 16

17 iworks Investments Basic System & Custom Reports Training (Private) iworks Investments Basic System & Custom Reports Module (CRM) Obtain critical understanding of iworks Investments primary workflows for investment processing and regulatory reporting. Take advantage of SunGard s custom reports module. Gain skills to create custom reports to enhance presentation of critical business reporting. Learn how to create reports to help you verify your data. Program duration will vary by product. Session covers how to process basic acquisitions, disposals, payments, etc. Topics include discussions about workflow and reconciliation procedures, quarterly and annual preparation, export of data to your annual statement vendor, a review of key fields affecting system calculations, and relational database and Windows navigation. System settings covered in the training include personal preferences, users administration and permissions, table maintenance, system setup, setting up and adding companies, company grouping capabilities, period close procedures, regulatory prior year, building acquisition templates, and setting up the general ledger. You will gain hands-on experience with the monthly workflow, including security theory, transactional processing, editing, inquiring and reporting on data. System-standard reports are explained and demonstrated. Methods of updating external data are discussed. You will learn how the SVO Filing Manager is used to assist with the determination of Filing Exempt status. The course spends the last day and a half on understanding the Default Fields List/Data Dictionary and creating custom reports. The Custom Reports portion of this class is only applicable for Investment Management or Investment Accounting clients. Level of Difficulty: Basic CPE Credits: TBD, based upon course content requested by client Prerequisites: None Advanced Prep: None Delivery Method: Group-Live-Based - Hands-On Training with training guide and client-directed discussion Applicable Products: Investment Management, Investment Accounting, or Investment Regulatory Who Should Attend? iworks Investment clients who are new to the system and need a detailed understanding of the application. SUNGARD iworks Revised 06/12 Page 17

18 iworks Investments Optional Modules, Workflows, and Theory Training SunGard iworks Offers Private Training on a Variety of Modules, System Workflows, and Theory Topics In addition to the Module and Workflow sessions detailed in this catalog, SunGard also offers private training on a variety of other topics. Below is a listing of training programs that are available. Session Requires Licensed Module: Asset Segmentation Derivative Covered Calls Derivative Future, Forwards, and Swaps Enterprise Performance Reporting Open Future Period Other Then Temporary Impairments Analyzer Reporting Period Archive Risk and Sensitivity Analysis Tax Wash Sales (Sessions Require Licensed Module) System Workflow Training Sessions: Acquisition Templates External Data Updates SVO Filing Manager Hard Close, Purge and Data Lock IMR/AVR Inquire Views Multiple Basis of Accounting Regulatory and Standard Reports Risk Based Capital Treasury Inflation Protected Securities Additional Theory Training Sessions Available: Security Amortization and Accruals Theory MBS/CMO/ABS Theory For more information on these topics, please contact your National Account Manager. SUNGARD iworks Revised 06/12 Page 18

19 Registration Form iworks Investments Training Registration Form Registration Form-iWorks Investments Best Practices Group Contact your National Account Manager for more information (303) and Select Preferred Dates via Fax (303) Attn: Training Registration. Date: Company: Attendee 1: Attendee 2: Select Program Below: # of attendees * Program Price $2,400 = Total Due $ List your Training Program Preference Below! Course Name 3-Day Regional-Presentation-Style Delivery Method: Group-Live Level: Intermediate Prerequisite Required: Basic System Training Advanced Prep: None Hours: 24 Hrs CPE Program Cost: $2,400 (group program rate) Course Dates and SunGard Office Location July New York, NY August Atlanta, GA October Chicago, IL November Denver, CO I prefer private training, contact me to schedule Add optional onsite Best Practices Review Registration in a specific program is not firm until you have received a written confirmation from SunGard. Learning Objectives: Refer to course description in the Education Catalog for detail on learning objectives. Due Date: Reservations must be received one week in advance of training date and are accepted on a spaceavailable basis. You will receive confirmation of your registration when this form has been processed. Substitution Policy: If notification is provided within 10 working days before start of class, you may substitute a different attendee, or apply registration to another SunGard course. SunGard s Standard Cancellation Policy: SunGard will reschedule your training if the request is received at least 4 weeks prior to the start of your confirmed training program. If you are unable to attend the session you registered for, prepaid fees after the cancellation penalty can be applied towards a future class. Any cancellation notice received less than 4 weeks prior to the start of the confirmed training program will be subject to the following policy: Between 2 and 4 weeks prior Between 1 and 2 weeks prior Less thant 1 week prior 50% penalty (of your total training fee) 75% penalty (of your total training fee) 100% penalty (total training fee) SunGard reserves the right to cancel the regional training if SunGard deems that there is insufficient attendance to justify holding the class. Customer will be notified of cancellation no less than 6 weeks prior to the regional training. If the class is cancelled, customer will be required to select another regional training, attend training in Denver or move the location of the training to an onsite program. Customer will be responsible for any difference in training fee. SunGard iworks is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: Contact your National Account Manager at (303) with questions. SUNGARD iworks Revised 06/12 Page 19

20 Registration Form iworks Investments Training Registration Form Registration Form-Private iworks Investments Best Practices (Custom) Contact your National Account Manager for more information (303) and Select Preferred Dates via Fax (303) Attn: Training Registration. Date: Company: Contact Name: Preferred Dates for Custom Best Practices Program: Define Your Customized Private Best Practices Training: Check all of the topics that interest your organization How to Implement Best Practices Best Practices for Standard Bonds Best Practices for More Complex Bonds Best Practices for Convertible Bonds Best Practices for Treasury Inflation Protected Best Practices for Cash, Cash EQ, Short Terms Best Practices for Money Market Funds Best Practices for Common Stocks Best Practices for Preferred Stocks Best Practices for Standard MBS, CMO, ABS Best Practices for IO, IOette, PO and accreting CMOs Best Practices for Schedule BA Assets Best Practices for Acquisition Templates Best Practices for Validation of Regulatory Compliance Best Practices for Accruals, Amortization, Yields How to Research Amortization/Accrual Issues Best Practices for Transactional Processing & Hard Close Error Identification Workshop-Part 1-Identification Best Practices for Exception Processing Error Identification Workshop-Part 2-Corrections Best Practices for Fair Value Accounting Best Practices for Validation of Fair Value Compliance Best Practices for Filing Exempt, RMBS/CMBS Modeling, Modified FE and the SVO Filing Manager Best Practices for OTTI Best Practices for Validation Strategies for OTTI Best Practices for Monthly, Quarter-End and Year-End Best Practices for View and Inquiry Customization Best Practices for Regulatory & System Standard Reports Best Practices to Research Schedule D Issues Best Practices to Shorten Monthly Processing Best Practices for Key System Fields that Affect IMR/AVR, RBC, RSA (optional module), Summary Investment Schedule and Exhibits Best Practices for Running Verification Tools System Optimization Workshop Best Practices for User Permissions Best Practices for Upgrades, Backups and Passwords Best Practices for Foreign Currency Processing Best Practices Workflow Observation and Summary Findings and Recommendations Other: Registration in a specific program is not firm until you have received a written confirmation from Training Development. Learning Objectives: Refer to course description in the Education Catalog for detail on learning objectives. Due Date: Reservations must be received one week in advance of training date and are accepted on a space-available basis. You will receive confirmation of your registration when this form has been processed. Substitution Policy: If notification is provided within 10 working days before start of class, you may substitute a different attendee, or apply registration to another SunGard course. SunGard s Standard Cancellation Policy: SunGard will reschedule your training if the request is received at least 4 weeks prior to the start of your confirmed training program. If you are unable to attend the session you registered for, prepaid fees after the cancellation penalty can be applied towards a future class. Any cancellation notice received less than 4 weeks prior to the start of the confirmed training program will be subject to the following policy: Between 2 and 4 weeks prior Between 1 and 2 weeks prior Less thant 1 week prior 50% penalty (of your total training fee) 75% penalty (of your total training fee) 100% penalty (total training fee) SunGard reserves the right to cancel the regional training if SunGard deems that there is insufficient attendance to justify holding the class. Customer will be notified of cancellation no less than 6 weeks prior to the regional training. If the class is cancelled, customer will be required to select another regional training, attend training in Denver or move the location of the training to an onsite program. Customer will be responsible for any difference in training fee. SunGard iworks is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: Contact your National Account Manager at (303) with questions. SUNGARD iworks Revised 06/12 Page 20

21 Registration Form iworks Investments Training Registration Form Registration Form-System Optimization Workshop Contact your National Account Manager for more information (303) and Select Preferred Dates via Fax (303) Attn: Training Registration Date: Company: Attendee 1: Attendee 2: # of -2-Hour System Optimization attendees * Program Price $ 500 = Total Due $ List your Training Program Preference Below! Course Name 2-Hour System Optimization Workshop Delivery Method: Group-Internet Level: Basic Prerequisite Required: None Advanced Prep: None Hours: 2 Hrs CPE Program Cost: $500 group rate Course Dates and Location June 14 Web-based Select 7:00-9:00am OR 1:00-3:00pm June 15 Web-based Select 7:00-9:00am OR 1:00-3:00pm I prefer private training, contact me to schedule Registration in a specific program is not firm until you have received a written confirmation from Training Development. Learning Objectives: Refer to course description in the Education Catalog for detail on learning objectives. Due Date: Reservations must be received one week in advance of training date and are accepted on a spaceavailable basis. You will receive confirmation of your registration when this form has been processed. Substitution Policy: If notification is provided within 10 working days before start of class, you may substitute a different attendee, or apply registration to another SunGard course. SunGard s Standard Cancellation Policy: SunGard will reschedule your training if the request is received at least 4 weeks prior to the start of your confirmed training program. If you are unable to attend the session you registered for, prepaid fees after the cancellation penalty can be applied towards a future class. Any cancellation notice received less than 4 weeks prior to the start of the confirmed training program will be subject to the following policy: Between 2 and 4 weeks prior Between 1 and 2 weeks prior Less thant 1 week prior 50% penalty (of your total training fee) 75% penalty (of your total training fee) 100% penalty (total training fee) SunGard reserves the right to cancel the regional training if SunGard deems that there is insufficient attendance to justify holding the class. Customer will be notified of cancellation no less than 6 weeks prior to the regional training. If the class is cancelled, customer will be required to select another regional training, attend training in Denver or move the location of the training to an onsite program. Customer will be responsible for any difference in training fee. SunGard iworks is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: Contact your National Account Manager at (303) with questions. SUNGARD iworks Revised 06/12 Page 21

22 Registration Form iworks Investments Training Registration Form Registration Form-Custom Reports Module (CRM) or MBS/CMO/ABS Contact your National Account Manager for more information (303) and Select Preferred Dates via Fax (303) Attn: Training Registration. Date: Company: Attendee 1: Attendee 2: # of 2-Day Custom Reports module attendees * Program Price $1,800 = Total Due $ # of 1-Day MBS/CMO/ABS attendees * Program Price $ 900 = Total Due $ Course Name List your Training Program Preference Below! 2-Day Custom Reports Module (CRM) Delivery Method: Group-Live Level: Basic Prerequisite Required: None Advanced Prep: None Hours: 12 Hrs CPE Program Cost: $1,800 (group program rate) 1-Day-MBS/CMO/ABS Securities Processing Delivery Method: Group-Live Level: Basic Prerequisite Required: None Advanced Prep: None Hours: 6 Hrs CPE Program Cost: $900 (group program rate) Course Dates and SunGard Office Location July Denver, CO I prefer private training, contact me to schedule July 25 Denver, CO I prefer private training, contact me to schedule Registration in a specific program is not firm until you have received a written confirmation from Training Development. Learning Objectives: Refer to course description in the Education Catalog for detail on learning objectives. Due Date: Reservations must be received one week in advance of training date and are accepted on a space-available basis. You will receive confirmation of your registration when this form has been processed. Substitution Policy: If notification is provided within 10 working days before start of class, you may substitute a different attendee, or apply registration to another SunGard course. SunGard s Standard Cancellation Policy: SunGard will reschedule your training if the request is received at least 4 weeks prior to the start of your confirmed training program. If you are unable to attend the session you registered for, prepaid fees after the cancellation penalty can be applied towards a future class. Any cancellation notice received less than 4 weeks prior to the start of the confirmed training program will be subject to the following policy: Between 2 and 4 weeks prior Between 1 and 2 weeks prior Less thant 1 week prior 50% penalty (of your total training fee) 75% penalty (of your total training fee) 100% penalty (total training fee) SunGard reserves the right to cancel the regional training if SunGard deems that there is insufficient attendance to justify holding the class. Customer will be notified of cancellation no less than 6 weeks prior to the regional training. If the class is cancelled, customer will be required to select another regional training, attend training in Denver or move the location of the training to an onsite program. Customer will be responsible for any difference in training fee. SunGard iworks is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: Contact your National Account Manager at (303) with questions. SUNGARD iworks Revised 06/12 Page 22

23 Registration Form iworks Investments Training Registration Form Registration Form-Understanding SSAPs or Year-End Preparatory Contact your National Account Manager for more information (303) and Select Preferred Dates via Fax (303) Attn: Training Registration Date: Company: Attendee 1: Attendee 2: # of -1-Day Understanding SSAP s attendees * Program Price $ 900 = Total Due $ # of 2--Day Year-End Preparatory attendees * Program Price $1,800 = Total Due $ Course Name 1-Day Understanding SSAP s Delivery Method: Group-Internet Level: Update Prerequisite Required: None Advanced Prep: None Hours: 6 Hrs CPE Program Cost: $900 group rate 2-Day-Year-End Preparatory Delivery Method: Group-Internet Level: Basic Prerequisite Required: None Advanced Prep: None Hours: 12 Hrs CPE Program Cost: $1,800 group rate List your Training Program Preference Below! Course Dates and Location November 14 Web-based December 12 Web-based I prefer private training, contact me to schedule November Web-based December Web-based I prefer private training, contact me to schedule Registration in a specific program is not firm until you have received a written confirmation from Training Development. Learning Objectives: Refer to course description in the Education Catalog for detail on learning objectives. Due Date: Reservations must be received one week in advance of training date and are accepted on a space-available basis. You will receive confirmation of your registration when this form has been processed. Substitution Policy: If notification is provided within 10 working days before start of class, you may substitute a different attendee, or apply registration to another SunGard course. SunGard s Standard Cancellation Policy: SunGard will reschedule your training if the request is received at least 4 weeks prior to the start of your confirmed training program. If you are unable to attend the session you registered for, prepaid fees after the cancellation penalty can be applied towards a future class. Any cancellation notice received less than 4 weeks prior to the start of the confirmed training program will be subject to the following policy: Between 2 and 4 weeks prior 50% penalty (of your total training fee) Between 1 and 2 weeks prior 75% penalty (of your total training fee) Less thant 1 week prior 100% penalty (total training fee) SunGard reserves the right to cancel the regional training if SunGard deems that there is insufficient attendance to justify holding the class. Customer will be notified of cancellation no less than 6 weeks prior to the regional training. If the class is cancelled, customer will be required to select another regional training, attend training in Denver or move the location of the training to an onsite program. Customer will be responsible for any difference in training fee. SunGard iworks is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: Contact your National Account Manager at (303) with questions. SUNGARD iworks Revised 06/12 Page 23