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Global Custodians - February 2011Privileged and confidential, not for further distribution for a showcase profile listing. CANADIAN WESTERN TRUST CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY CITIBANK CANADA DESJARDINS TRUST NATIONAL BANK TRUST NORTHERN TRUST COMPANY, CANADA, THE RBC DEXIA INVESTOR SERVICES STATE STREET TRUST COMPANY CANADA DIRECTORY OF RECORDKEEPERS BAYNES & WHITE James White, President/Managing Partner, 121 King St. W., Ste. 2100, Toronto, ON M5H 3T9 PH: 416-863-9159 Fax: 416-863-9158 Professional Staff – 13 Recording Services: DB – Active, Deferred Vested, and Retired Member Record Keeping on Administration System; Complete Benefit Administration, Option Form Preparation, and Processing; Annual Benefit Accrual Updates and Annual Member Statements; Membership Reconciliations; Form 7s, Provincial AIRs, Form 8s; Pension Adjustments, PARs, PSPAs; Plan Conversions, Freezes, Wind-ups; Records Management and Retention; Pension Fund Audit Support DC – Form 7s, Provincial AIRs; Pension Adjustments; Plan Conversions, Wind-ups; Records Management and Retention; Pension Fund Audit Support BBD Shylo Kennett, Director of Communications, 500 – 2755 Lougheed Hwy., Port Coquitlam, BC V3B 5Y9 PH: 604-464-0313 Fax: 604-464-7997 Client Profile: DB Plans – 2,400 Group RRSPs – 4 Professional Staff – 77 BMO GROUP RETIREMENT SERVICES INC. Anita Lieberman, Vice-president, Business Development, 181 Bay St., Ste. 2820, Toronto, ON M5J 2T3 PH: 866-289-6769 Fax: 866-362-2659 Client Profile: DC Plans – 24 Group RRSPs – 645 (includes plans transitioning from other areas of BMO FG) Other – 14 Professional Staff – 22 Recording Services: DC – Governex, Open Architecture Platform, LifeGARD, Group Banking, BMO Financial Group Services Group RRSP – Governex, Open Architecture Platform, LifeGARD, Group Banking, BMO Financial Group Services BUCK CONSULTANTS Jim Reid, National Practice Leader, Administration Solutions; 155 Wellington St., W., Ste. 3000, Toronto, ON M5V 3H1PH: 416-644-9295 Fax: 416-865-1099 Client Profile: DB Plans – 955 DC Plans – 23 Group RRSPs – 99 Other – 21 Professional Staff: 214 Recording Services: DB - ASP, co-sourcing and outsourcing service delivery models; Group and individual pension plan administration; Retiree benefits administration; Data management; Pension calculations; Pension processing and payment authorization; Regulatory compliance and filing; Member communication; Member education and decision support; Member self-service and call centre support; Sponsor self-service; Sponsor reporting (library and ad hoc) DC – ASP & co-sourcing and outsourcing service delivery models; Group plan administration and institutional back-office administration services; Data management; Reconciliation; Regulatory compliance and filing; Member communication; Member education and decision support; Member self-service and call centre support; Sponsor self-service; Sponsor reporting (library and ad hoc) Group RRSP – ASP and outsourcing service delivery models; Group plan administration and institutional back-office administration services; Data management; Reconciliation; Regulatory compliance and filing; Member communication; Member education and decision support; Member self-service and call centre support; Sponsor self-service; Sponsor reporting (library and ad hoc) CORPORATE BENEFIT ANALYSTS, INC. Cam MacNeish, Vice-president, Group Retirement & Savings Plans, 640 Riverbend Dr., Kitchener, ON N2K 3S2 PH: 519-579-7749 Fax: 519-579-4422 Client Profile: DB Plans – 72 DC Plans – 35 (partial services) Group RRSPs – 56 (partial services) Professional Staff – 7 Recording Services: DB – Active, Deferred Vested, and Retired Member Record Keeping on Proprietary Administration System; Complete Benefit Administration, Option Form Preparation, and Processing; Annual Benefit Accrual Updates and Annual Member Statements; Membership Reconciliations; Form 7s, Provincial AIRs, Form 8s; Pension Adjustments, PARs PSPAs; Plan Conversions, Freezes, Wind-ups; Records Management and Retention; Pension Fund Audit Support DC – Provincial AIRs, Form 7s, PAs; Membership Reconciliations; Pension Fund Audit Support; Carrier Member Data Transition Validation Group RRSP - Carrier Member Data Transition Validation COUGHLIN & ASSOCIATES LTD. Mark Hogan, Senior Vice-president, 466 Tremblay Rd./175 Hargrave St., Ste. 100, Ottawa/Winnipeg, ON/MB K1G 3R1/R3C 3R8 PH: 613-231-6477 Fax: 613-231-2345 Client Profile: DB Plans – 9 DC Plans – 18 Professional Staff – 20 Recording Services: DB – Maintain Plan Member Account Balances, Pension Entitlement Calculations, Commuted Value Calculations, Lump Sum Benefit Payments, Annuity Payments, LIF/LIRA Purchases, Pension Fund Expense Payments, Contribution Receipts, Fund Accounting, Regulatory Filing, Retirement Counseling, Investment Consulting, Plan Member Communication Services, PIPEDA/Governance Compliancy, Proprietary Recordkeeping Software and Reporting with 'in-house' programmers, Preparation and Distribution of Personalized Member Reports, Plan Member Correspondence, Secure Management and Retention of Pension Plan Records DC – Maintain Plan Member Account Balances, Pension Entitlement Calculations, Lump Sum Benefit Payments, Variable Benefit Payments, Annuity/LIF/LIRA Purchases, Pension Fund Expense Payments, Contribution Receipts, Fund Accounting, Regulatory Filing, Retirement Counseling, Investment Consulting, Plan Member Communication Services, CAP/PIPEDA/Governance Compliancy, Proprietary Recordkeeping Software and Reporting with 'in-house' programmers, Preparation and Distribution of Personalized Member Reports, Plan Member Correspondence, Secure Management and Retention of Pension Plan Records DESJARDINS FINANCIAL SECURITY David Charbonneau, Vice-president, Business Development Group Retirement Savings, 1 Complexe Desjardins, Tour Sud, 21e etage, Montreal, QC H5B 1E2 PH: 514-350-8700 x2335 Fax: 514-285-8766 Client Profile: DB Plans – 10-15 DC Plans – 340 Group RRSPs – 1,311 Other – Also provides services for Individual Pension Plans (approx. 150) and investment services for Investment Only Plans (approx. 50) Professional Staff – 91 Recording Services: DB – Full Actuarial Services, Full Administration Services DC – Dedicated Account Manager, Comprehensive Education and Communication Program for Plan Participants, Full Administration Services including Plan Sponsor Reporting and Measurement Tools, Fund Monitoring Program, Customer Contact Centre Group RRSP – Dedicated Account Manager, Comprehensive Education and Communication Program for Plan Participants, Full Administration Services including Plan Sponsor Reporting and Measurement Tools, Fund Monitoring Program, Customer Contact Centre ECKLER LTD. Todd McLean, Principal. 900-110 Sheppard Ave. E., Toronto, ON M2N 7A3 PH: 416-429-3330 Fax: 416-696-3950 Client Profile: DB Plans – 173 DC Plans – 4 Other – 3 Professional Staff – 22 Recording Services: DB – Full Outsourcing/Third-party Support; Database Development and Maintenance; Routine and Complex Benefit Calculations; Processing of Benefit Payments; Calculation and Reporting of PAs, PARs, and PSPAs; Unique Mandates (i.e. Surplus Distribution, Tax Reporting); Member Communication and Statements; Financial Planning Literacy/Education; Technology Solutions (web-based tools and calculators); Software/Administration System Development; Call Centre/Phone Support for Sponsors and Members; Completion of Government Filings DC – Member Communication and Statements; Financial Planning Literacy/Education; Technology Solutions (web-based tools and calculators); Call Centre/Phone Support for Sponsors and Members; Completion of Government Filings GREAT-WEST LIFE ASSURANCE COMPANY Jeff Aarssen, Vice-president, GRS Sales & Marketing, Wealth Management, 255 Dufferin Ave. T-540, London, ON N6A 4K1 PH: 519-435-7038 Fax: 519-435-7800 Client Profile: DC Plans – 3,267 Group RRSPs – 5,665 Other – 7,450 Professional Staff – 606 Recording Services: DB – Investment Management Only DC – Products: RPP/SPP, DPSP, EPSP, Deferred Salary Leave Plan, Investment-only, Group LIF, Annuities; Services: CAP Recordkeeping; Customizable Communication Materials; Education and Transactional Website for Members, Plan Sponsors, and Advisors; Bilingual, Toll-free Client Service Centre; Customizable Education Seminars and Videos; Sponsor Safeguards and Compliance Program; Third-party Financial Planning Website and Seminars; Member Investment Selection Service; Personalized Member Statement Illustrations Group RRSP – Products: RRSP, TFSA, NRSP, Employee Benefit Plan, Investment-only, Group RRIF, Annuities; Services: CAP Recordkeeping; Customizable Communication Materials; Education and Transactional Website for Members, Plan Sponsors, and Advisors; Bilingual, Toll-free Client Service Centre; Customizable Education Seminars and Videos; Sponsor Safeguards and Compliance Program; Third-party Financial Planning Website and Seminars; Member Investment Selection Service; Personalized Member Statement Illustrations INDUSTRIAL ALLIANCE Renee Laflamme, Vice-president, Group Pensions, 1080 Grande Allee W., Quebec City, QC G1K 6M3 PH: 418-684-5252 Fax: 418-684-5187 Client Profile: DB Plans – 805 (including IPPS) DC Plans – 780 Group RRSPs – 3,265 Other – 703 Professional Staff – 149 Recording Services: DB – Instructions for Plan Administrator; Preparation of Explanatory Booklets for Distribution to Members Upon Their Enrolment in the Plan; Safekeeping of Members Enrolment Forms as well as changes submitted in information relating to same; Maintenance of Individual Records of Contributions; Assistance in Preparing the Necessary Documents to meet Government Requirements for the Initial Plan Registration and the subsequent Maintenance of the Plan's Registered Status; Payment of Benefits as Provided Under the Plan, including the Required Tax Withholding and Reporting; Issue of Tax-reporting Forms (excluding Pension Adjustments Reversals), upon Payment of Benefits, and Preparation of Accompanying Reports as Required by the Ministries of Revenue; Issue Notices to Members advising them of the options available Under the Plan at Termination of Employment and Retirement, Annual Production of a Statement of Rights for each member; Actuarial Services DC – Instructions for Plan Administrator; Drafting of Plan Document; Preparation of Explanatory Booklets for Distribution to Members Upon Their Enrolment in the Plan; Safekeeping of Members Enrolment Forms as well as changes submitted in information relating to same; Maintenance of Individual Records of Contributions and of Accumulated Amounts in the Plan; Assistance in Drawing Up the Documents Required for the Initial Registration and in Maintaining this Registration with the Government Authorities; Payment of Benefits Provided Under the Plan, including the Required Tax Withholding and Reporting; Issue of Tax-reporting Forms (excluding Pension Adjustments Reversals), upon Payment of Benefits, and Preparation of Accompanying Reports as Required by the Ministries of Revenue; Issuance of Financial Report; Issuance of Statement of Benefit Entitlements Report for Each Plan Member; Access for the Members to the Rapid Vocal Response (RVR) System; Access for the Members to CyberClient, the Company's Secured Website; Issuance of a Notice to Members before their normal retirement date to inform them of their Retirement Benefit Options Under the Plan Group RRSP - Preparation of Documents Required for the Members or the Administrator, when the contract is issued as the case may be; Maintenance of Individual Records of Contributions and of Accumulated Amounts in the Contract; Distribution to the Member of the Tax Receipts; Safekeeping of Members Enrolment Forms as well as changes submitted in information relating to same; Payment of Benefits Provided Under the Plan, including the Required Tax Withholding and Reporting; Issue of Tax-reporting Forms (excluding Pension Adjustments Reversals), upon Payment of Benefits, and Preparation of Accompanying Reports as Required by the Ministries of Revenue; Issuance Financial Report; Issuance of Statement of Benefit Entitlements Report for Each Plan Member; Issue of Notices to the Members, Before the Limit Date as Defined in the Income Tax Act (Canada) or any other Applicable Legislation, to Inform them of their Retirement Benefit Options Under the Plan; Access for the Members to the Rapid Vocal Response (RVR) System; Access for the Members to CyberClient, the Company's Secured Website MANULIFE FINANCIAL Nancy Campbell, Assistant Vice-president, Marketing – Group Retirement Solutions, 25 Water St. S., Waterloo, ON N2J 4A9 PH: 519-747-7000 Fax: 519-747-6772 Client Profile: DC Plans – 1,929 Group RRSPs – 2,608 Other – 527 Professional Staff – 418 Recording Services: DB – For Plan Sponsors: Monthly and Annual Plan Reporting, Support from a Customer Service Team, Access to a Secure Website containing plan information, Plan Documentation Support, A Bundles Investment Solution that includes access to a diverse platform of fund managers with trust and payout solutions, Investment (CFA) and Actuarial Expertise included in transition services (i.e. Converting a Defined Benefit Plan to a Defined Contribution Plan) DC – Service options that include a selection of Reports, Information, and Expertise, including access to Plan Information via a secure website, Regular Reporting, the firm's Service Team, Plan Governance Support including an Online Plan Governance Centre, A Choice of Investments including Market-based funds, Asset Allocation Funds, Retirement Date Funds, and Group IncomePlus (Guaranteed Minimum Withdrawal Benefit Product), Investment Programs such as i-Watch and Certified Diversified; For Plan Members: Self-service Options such as Secure Website and Interactive Voice Response Telephone System, Customer Service Representatives and Financial Education Specialists, The Steps Retirement Program, Access to Live and Archived Webcasts with information and tips on how to manage personal finances, Retirement Transition Support, Flexible Enrolment Options, Top-rated Statements, Multimedia Member Education Options Group RRSPs – Service options that include a selection of Reports, Information, and Expertise, including access to Plan Information via a secure website, Regular Reporting, the firm's Service Team, Plan Governance Support including an Online Plan Governance Centre, A Choice of Investments including Market-based funds, Asset Allocation Funds, Retirement Date Funds, and Group IncomePlus (Guaranteed Minimum Withdrawal Benefit Product), Investment Programs such as i-Watch and Certified Diversified; For Plan Members: Self-service Options such as Secure Website and Interactive Voice Response Telephone System, Customer Service Representatives and Financial Education Specialists, The Steps Retirement Program, Access to Live and Archived Webcasts with information and tips on how to manage personal finances, Retirement Transition Support, Flexible Enrolment Options, Top-rated Statements, Multimedia Member Education Options MCFBEDARD GROUP INC. Charles Bedard, President; 465 Richmond St., Ste. 200, London, ON N6A 5P4 PH: 519-690-1452 Fax: 519-690-1463 Client Profile: DB Plans – No DC Plans – Yes Group RRSPs – Yes Recording Services: DC – Investment Consulting, Performance Measurement, Compliance, Education & Communication, Manager Search, Asset Allocation, Policy Development, Customer Service, Administration Support Group RRSP – Investment Consulting, Performance Measurement, Compliance, Education & Communication, Manager Search, Asset Allocation, Policy Development, Customer Service, Administration Support MORNEAU SHEPELL LTD. Pierre Chamberland, Chief Operating Officer & Executive Vice-president, 800 Place Victoria, Ste. 4000 Box 211, Montreal, QC H4Z 0A4 PH: 514-392-7838 x7838 Fax: 514-875-2673 Client Profile: DB Plans – 737 DC Plans – 38 Group RRSPs – 20 Other – 39 Professional Staff – 2,400 Recording Services: DB – Recordkeeping, Data Management (including Interfacing with Client Payroll System and External Providers), All Transaction Processing (for Retirement, Termination, Death, Marital Breakdown, etc.), Year-end Administration (Pension Adjustments, Annual Member Statements, Annual Information Returns, etc.), Handling Member Enquiries via Call Centre, Providing a Self-service Website that Plan Members and HR Staff may access to view plan information and perform certain functions, Reporting, Employee Communications DC – Recordkeeping, Data Management (including Interfacing with Client Payroll System and External Providers), All Transaction Processing (for Retirement, Termination, Death, Marital Breakdown, etc.) and Investment Trading, Provide Members with Updated Fund Balances, Handling Member Enquiries via Call Centre, Providing a Self-service Website that Plan Members and HR Staff may access to view plan information and perform certain functions, Reporting, Employee Communications Group RRSP – Recordkeeping, Data Management (including Interfacing with Client Payroll System and External Providers), All Transaction Processing (for Retirement, Termination, Death, Marital Breakdown, etc.) and Investment Trading, Provide Members with Updated Fund Balances, Handling Member Enquiries via Call Centre, Providing a Self-service Website that Plan Members and HR Staff may access to view plan information and perform certain functions, Reporting, Employee Communications PBAS GROUP, THE Terry Crawley, Director, Marketing, 110 – 61 International Blvd. Toronto, ON M9W 6K4 PH: 416-674-3350 Fax: 416-674-8018 Client Profile: DB Plans – 5 Group RRSPs: 1 Other: 1 Professional Staff – 27 Recording Services: Establish and Maintain the Database for the participating Employers, Employees, Members, and Claimants and Process Enhancements to the system to accommodate the changes in Benefits, Plan Provisions, and Regulatory Requirements including the capability to Scan and Create Electronic Records; Reciprocate Plan Values on behalf of such Members in compliance with Reciprocal Agreements; Calculate and Process Member Entitlements; Develop and Conduct Standard Contribution Reporting Procedures, including Recording and Verifying the accuracy and timeliness of all contributions; Verify Claimant Eligibility; Protect the Database through the creation of duplicate records stored at an appropriate site, separate and apart from the Administrator’s primary operating location; Maintain and Protect the Plan Sponsor’s Document Files; Prepare and Reconcile Data for Actuarial Valuations PBI ACTUARIAL CONSULTANTS LTD. Susan Chortyk, Vice-president & Consulting Actuary, Ste. 1070, One Bentall Centre, 505 Burrard St., Box 42, Vancouver, BC V7X 1M5 PH: 604-647-3230 or 877-687-8056 Fax: 604-687-8074 Client Profile: DB Plans – 4 Professional Staff – 29 Recording Services: DB – Basic and Other Member Data; Enrolment of New Members; Contact Relevant HR personnel for Missing Data; History of Former Members who elected Lump Sum Payouts; History of Retirees who elected Lump Sums; Names of Pensioners or Beneficiaries, Monthly Benefit Amounts and Option Elected at Retirement; History of Death Benefits Paid; History of Marriage Breakdown Calculations; Annual Membership Reconciliation; Production of Annual Pension Statements; History of PAs, PARs, and PSPAs PENAD PENSION SERVICES LIMITED Matthew Price, Vice-president, Global Business Development, 194 Weber St. E., Kitchener, ON N2H 1E4 PH: 519-743-9000 Fax: 519-743-8346 Client Profile: DB Plans – 24 Professional Staff – 17 Recording Services: DB – Montreaux End To End Plan Administration Services including Online/Self Serve Portal for Plan Sponsors, Members, and Trustees; PX3000 Software Suite for the Administration of DB Plans; Consulting and Actuarial Services; Retirement Planning and Guidance, Wealth Management, and Educational Services to Plan Members or Sponsors DC – Montreaux End To End Plan Administration Services including Online/Self Serve Portal for Plan Sponsors, Members, and Trustees; PX3000 Software Suite for the Administration of DC Plans; Retirement Planning, Guidance, Wealth Management, and Educational Services to Plan Members and Sponsors Group RRSP - Montreaux End To End Plan Administration Services including Online/Self Serve Portal for Plan Sponsors, Members, and Trustees; PX3000 Software Suite for the Administration of Group RRSP Plans as well as Life and Health Administration; Retirement Planning, Guidance, Wealth Management, and Educational Services to Plan Members and Sponsors PROTECTORS GROUP, THE R. Brian Porter, President, 215 George St. N., Peterborough, ON K9J 3G7 PH: 705-748-5181 Fax: 705-748-4831 Client Profile: DC Plans – 88 Group RRSPs: 28 Other: 5 Professional Staff – 6 Recording Services: DC – Yes GROUP RRSPs: Group RRSP Administration STANDARD LIFE ASSURANCE COMPANY OF CANADA, THE Claude Leblanc, Vice-president, Sales & Public Affairs, Group Savings & Retirement, 1245 Sherbrooke W., Ste. 1900, Montreal, QC H3G 1G3 PH: 514-499-7999 x7552 Fax: 514-841-2860 eMail: claude.leblanc@standardlife.ca Web: www.standardlife.ca Client Profile: DB Plans – 522 DC Plans – 1,133 Group RRSPs – 3,320 Other – 758 Professional Staff – 475 Recording Services: DB – Toll-free Information Line, Record-keeping Services, Investment Management, Website DC – Communications Materials, Toll-free Information Line, Record-keeping Services, Investment Management, Website Group RRSP - Communications Materials, Toll-free Information Line, Record-keeping Services, Investment Management, Website SUN LIFE FINANCIAL Nadia Darwish, Vice-president, Client Relationships & Business Development, 225 King St. W., 5th Floor, Toronto, ON M5V 3C5 PH: 416-408-8786 Fax: 416-595-1773 Client Profile: DC Plans – 1,630 Group RRSPs – 4,720 Other – 1,254 Professional Staff – 698 Recording Services: DB – DB Solutions, Tailored Solutions for DB Plan Risk, Group Choices Plan for Defined Benefits, Investment-only Plan (INVO), Pensioner Payroll Services DC – Products: Defined Contribution Pension Plan (DCPP), Deferred Profit Sharing Plan (DPSP), Savings Plan, Tax-free Savings Account, Non-registered Plan, Stock Plan; Services: Group Retirement Income Solutions; Integrated Group Retirement Services and Group Benefits Access; Investment Solutions; My Money for Life (Guaranteed Minimum Withdrawal Benefit); Group Choices Plan for Transitioning Plan Members; Retirement Income Products; Financial Planning Services; In-plan Investment Advice Service; Call Centre and Automated Telephone Systems; Plan Member, Sponsor, and Advisor Services websites; Online Member Education and Financial Planning Tools; On-site Enrolment and Education Services; Custom Education, Communication, and Design Services Group RRSP – Group Retirement Income Solutions; Integrated Group Retirement Services and Group Benefits Access; Investment Solutions; My Money for Life (Guaranteed Minimum Withdrawal Benefit); Group Choices Plan for Transitioning Plan Members; Retirement Income Products; Financial Planning Services; In-plan Investment Advice Service; Call Centre and Automated Telephone Systems; Plan Member, Sponsor, and Advisor Services websites; Online Member Education and Financial Planning Tools; On-site Enrolment and Education Services; Custom Education, Communication, and Design Services WESTERN COMPENSATION & BENEFITS CONSULTANTS Donald M. Smith, Partner, Ste. 2000, 1188 West Georgia St., Vancouver, BC V6E 4A2 PH: 604-683-9155 Fax: 604-687-2315 Client Profile: DB Plans – 13 DC Plans – 2 Professional Staff – 10 Recording Services: DB – Maintenance of Plan Member Records, Design and Production of Member Communication Materials, Preparation of Annual and Event-driven Member Statements, Benefit Calculations and Processing, Actuarial Services related to Plan Administration, Design and Development of Record-keeping and Administration Systems, Audits of Record-keeping systems and Plan Administration, Executive Pension Plans, Individual Pension Plans DC – Executive Defined Contribution Plans |
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