SunGard Rev 1/11 Page 1

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1 Critical Training for Your Regulatory Compliance! Internet, onsite and in-house training options on regulatory updates, as well as strategies for implementing the new NAIC and FASB guidance in your SunGard system iworks Investments Best Practices Maximize Your Investment Processing Efficiency and the Accuracy of Quarterly and Annual Statement Filing Dates: February 16-18, 2011 March 16-18, 2011 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 Learn to reduce data inconsistency with Acquisition Templates 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 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 Rev 1/11 Page 1

2 Learning Objectives for Day 2: Investment workflow topics include: Money market securities Common Stocks Preferred Stocks Standard MBS, CMO, ABS More complex CMOs including IO, IOette, PO and accreting CMOs Schedule BA assets 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 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: Understand best practices for transaction processing workflows 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 Review STAT and GAAP fair value accounting guidelines and FAS implementation 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 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 Understand how to generate quarterly and annual statement reports and export files 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 Obtain skills to create archive reports to retain historical data Utilize RPA module for prior period reporting and inquire Save time generating reports with global filters and batch capabilities Understand when is the best time is for your organization to execute a hard close Gain understanding of best practices for upgrades, backup and passwords 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. Prerequisites Required: Basic System Training Delivery Method: Group-Live SunGard Denver office (Private training options are available, ask for details.) CPE Credits: 24 SunGard Rev 1/11 Page 2

3 2010 Regulatory Update Training Dates: January 17, 2011 This one-day web-based course provides an update on statutory requirements. Topics discussed include fundamental SSAP concepts Preamble SSAP No. 4 - Assets and Nonadmitted Assets SSAP No Nonadmitted Assets SSAP No 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 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 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. 46 Investment in Subsidiary, Controlled, and Affiliated Entities SSAP No. 48 Joint Ventures SSAP No Business Combinations and Goodwill Session also provides an update of the 2010 and upcoming 2011 requirements. If you are new to statutory requirements or just need a refresher you will find this session beneficial. 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 2010 and 2011 regulatory requirements Program Level: Update Prerequisites Required: Basic understanding of investments (Private training options are available, ask for details.) CPE Credits: 6 SunGard Rev 1/11 Page 3

4 Year-End Preparatory Training Dates: January 18-19, 2011 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 will be 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 will include 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, FSP FAS and FAS and 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 be 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 roll-forward purposes. Each day ends with an open forum to allow client questions to be answered by SunGard experts. Learning Objectives: o Gain an understanding of statutory filing requirements, Schedule D, DA, E, and BA o Learn security classification and presentation of data o Steps to take to complete year end preparation o Understand basics of Fair Value Accounting implementation o Understand basic OTTI, FSP FAS and FAS implementation o Understand objectives of IMR/AVR, RSA, RBC reports Prerequisites Required: Basic System Training (Private training options are available, ask for details.) CPE Credits: 12 SunGard Rev 1/11 Page 4

5 Understanding RMBS/CMBS Modeling, Modified FE and the SVO Filing Manager Dates: January 20, 2011 January 21, 2011 January 26, 2011 January 27, 2011 This three hour web-based session is designed to help you understand the RMBS/CMBS modeling and modified FE requirements for structured securities. Learn how to implement the new SVO Filing Manager Designation Analysis and automated RMBS/CMBS tools added in Release 2.10 to assist you with this process. See the process from start to finish in a sample database. SunGard iworks is offering group internet training options to help assure you are in compliance for year-end filing. Prerequisites Required: None CPE Credits: 3 iworks Investments Modules Training Internet training options on iworks Investments modules can add tremendous value for year-end processing and reporting. If you are new to the module workflows, or have used the module but not as effectively as you know you should, attend these sessions to learn more about how to take advantage of the module capabilities. (Training programs require module ownership to participate.) Open Future Period Module Training Dates: Private This two-hour web-based course provides and overview of the module and implementation strategies. Learn how to create an open future period. You also learn how to log into an effective future period for transaction processing, reporting, and inquire. Session discusses posting edits and updates to investment data in the future period, as well as how these updates affect future period data when posted to earlier periods. Learn navigation skills to move between reporting periods and how to resume processing in your active period. Session also discusses frequently asked client questions on the module. Prerequisites Required: Own the Open Future Period Module CPE Credits: 2 SunGard Rev 1/11 Page 5

6 Reporting Period Archive (RPA) Module Training Dates: Private This two-hour web-based course provides an overview of the module and implementation strategies. Learn how to create a reporting period archive. You also learn how to log into an RPA family for prior period reporting and inquire. Session also discusses how to post edits and update an Effective Period if updates are required for the reporting period archive. Learn navigation skills to move between reporting periods. Tips for CRM report design when using an RPA period are discussed. The process for how to delete an obsolete RPA is covered. Session also discusses frequently asked client questions on the module. Prerequisites Required: Own the Reporting Period Archive Module CPE Credits: 2 Wash Sales Module Training Dates: Private This two-hour web-based course provides an overview of the module and implementation strategies. Session covers wash sales theory. You also learn how to create an analysis of disposals with losses in the current year to evaluate if substantially identical assets have been purchased, creating a wash sale. Ability to match CUSIP or substantially similar assets. Understand screen flows and report output. Session also discusses frequently asked client questions on the module. Prerequisites Required: Own the Wash Sales Module CPE Credits: 2 SunGard Rev 1/11 Page 6

7 Risk and Sensitivity Analysis (RSA) Module Training Dates: February 14, 2011 or Private This two-hour web-based course provides an overview of the module and implementation strategies. Learn how to implement the module in your database and key fields that affect investment presentation on each of the RSA reports. We discuss RSA calculation assumptions. Understand the differences for L&H and P&C Company reporting. You also learn how to create and delete RSA RPA and login to this period for modifications. Learn navigation skills to move between the active and the RSA RPA reporting periods and how to resume processing in your active period. We review the menu capabilities available when working in an RSA RPA. Session includes an RSA CRM report to assist you with validating RSA category fields. Learn options for Adjusting System Shock Values in the Settings Menu (Optional component). Session also discusses frequently asked client questions on the module. An overview of the RSA reports is provided Life and Health Companies Large Investments Portfolio Analysis Interest Rate Sensitivity Property and Casualty Companies Single Large Exposure Fixed Income Portfolio Analysis Interest Rate Sensitivity Asset Liability Bond Portfolio Splits Health Companies Credit Rating for Health Companies Prerequisites Required: Own the Risk and Sensitivity Module CPE Credits: 2 SunGard Rev 1/11 Page 7

8 Registration Form Group Training Programs Registration Form GROUP TRAINING QUICK REGISTRATION FORM Register by Fax (303) Attn: Training Registration Date: Company: Attendee 1: Title: Phone: Attendee 2: Title: Phone: Select Program Checkbox Below: # of attendees * Program Price $ = Total Due $ Course Name iworks Investments Best Practices Delivery Method: Group-Live, in-house training Level: Intermediate Hours: 24 Hrs CPE Program Cost: $3,600 group rate Please Register Me for the Classes Listed Below! 2010 Regulatory Update or Group-Live in-house training Level: Update Hours: 6 Hrs CPE Program Cost: $900 group rate Year-End Preparatory or Group-Live in-house training Level: Basic Hours: 12 Hrs CPE Program Cost: $1,800 group rate Understanding RMBS/CMBS Modeling, Modified FE & SVO Filing Mngr Level: Basic Hours: 3 Hrs CPE Program Cost: $299 group rate Risk and Sensitivity Analysis Module Level: Basic Hours: 2 Hrs CPE Program Cost: $300 group rate Reporting Period Archive Module, Open Future Period Module, or Wash Sales Private Training Level: Basic Hours: 2 Hrs CPE Program Cost: $300 group rate Course Dates and Location February 16-18, 2010 Denver-8:00-5:00PM MDT March 16-18, 2010 Denver-8:00-5:00PM MDT I prefer private training, contact me to schedule timing Add optional onsite Best Practices Review January 17, 2011 Web Based-7:30-3:30PM MDT I prefer private training, contact me to schedule timing January 18-19, 2011 Web Based-7:30-3:30PM MDT I prefer private training, contact me to schedule timing January 20, 2011 Web Based-1:00-4:00PM MDT January 21, 2011 Web Based-7:00-10:00AM MDT January 26, 2011 Web Based-1:00-4:00PM MDT January 27, 2011 Web Based-7:00-10:00AM MDT Private training request, contact me to schedule timing January 20, 2011 Web Based--9:30-11:30AM MDT February 14, 2011 Web Based--9:30-11:30AM MDT I prefer private training, contact me to schedule timing RPA Private training request, contact me to schedule OFP Private training request, contact me to schedule Wash Sales Private training request, contact to schd Registration is pursuant to SunGard Training Policies as detailed in this catalog. Revised-1/11 Contact your National Account Manager at with questions on how to register.

9 Registration Form Group Training Programs Registration Form SunGard Training Policies Due Date: Reservations must be received 3 days 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 2 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 3 days 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 3 days 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% of your total training fee due 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 1 week prior to the training. 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 addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN Web site: Contact your National Account Manager at with questions on how to register. Registration is pursuant to SunGard Training Policies as detailed in this catalog. Revised-1/11 Contact your National Account Manager at with questions on how to register.