[14895]
July 11, 2002
TO: TRANSFER AGENT ADVISORY COMMITTEE No. 52-02
RE: 2002 QUALIFIED PLAN SURVEY
The Transfer Agent Advisory Committee established a task force, chaired by Mary
Corcoran of AIM Fund Services, who developed the attached 2002 Qualified Plan Survey. This
survey is designed to gather specific information on current practices and operational
procedures for qualified plan accounts processed and serviced at the transfer agent that are not
part of your “turnkey” or “packaged” plan business.
We are requesting that mutual fund complexes on the Institute’s Transfer Agent
Advisory Committee complete the 2002 Qualified Plan Survey in order to obtain responses from
a broad cross-section of the industry. As with all Institute surveys, data collected from each
individual firm will remain confidential and only aggregate survey results will be reported to
Committee members.
This is a web-only survey. Fund complexes that participate should access and
complete the survey on the specially designated address on the Institute’s website. Your
firm’s designated survey contact may register to complete the survey at
http://surveys.ici.org/qualplan/. Please submit your completed Qualified Plan Survey response
online to the Institute no later than August 2, 2002.
The attached survey copy is for your reference. If you have any questions regarding the
survey, please direct your inquiries to the following Institute staff:
Technical Issues (regarding web entry of the survey) – Lee Butler at lbutler@ici.org
or 202-326-5931.
Survey Content Issues – Kathy Joaquin at kjoaquin@ici.org or 202-326-5930.
We encourage all TAAC members to complete the 2002 Qualified Plan Survey. The
aggregate survey results will be reviewed and discussed at future Committee meetings. Once
data is collected and analyzed by the Committee, the Task Force plans to develop
recommendations regarding practices for qualified/small plans processing.
2
Thank you for your attention and participation in this important project.
Kathleen C. Joaquin
Director – Transfer Agency
& International Operations
Attachments
Attachment no. 1 (in .pdf format)