Positions Quick Reference Guide

Overview

DECEMBER 2016

Strictly Private and Confidential

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Contents

Contents i

Positions Quick Reference Guide 1

Accessing the Positions Application 1

Positions Page 2

Filters 5

‘As of’ Date 9

Data Retention 9

Search 10

Export to CSV 10

Position Details and Locations 11

Settled Transactions 12

Transaction details 14

Browser Best Practices 15

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Positions Quick Reference Guide RBC Investor & Treasury Services’ (RBC I&TS) Positions application provides convenient access to settled end-of-day security positions and cash balances. The

addition of a series of sort and filter options provides the ability to customize data views that align with your operational requirements and daily workflows.

This guide outlines the navigation elements, features and filters available to view and manage Positions data through RBC I&TS’ online portal.

Accessing the Positions Application

To access the Positions application, please follow the steps below:

Step 1: Log in to Investor Services Online using your assigned User ID and password. If you require assistance, please contact your local

Service Desk.

Step 2: From the Home page navigation bar, select Positions.

Access to the Positions application is based on your Investor Services Online set-up. Depending on relevant permissions, you may have access to the

following pages:

Security Positions: A list view of settled end-of-day security positions for all permissioned accounts and additional security-specific information for a

particular position, with drill-down capabilities to view real-time settled transactions associated with a position

Security Transactions: Available only to users permissioned to the Security Positions page, the Security Transactions page lists real-time transactions for all

relevant Milvus accounts, with drill-down capabilities to view transaction history and information

Cash Balances: A list view of settled cash balances for all permissioned accounts and drill down capabilities to view settled transactions related to the

balance

Note: For assistance in updating user permissions, please contact your local Service Desk:

North America:

1 416 955 3941

1 866 309 6255

service.internet@rbc.com

Luxembourg:

+352 2605 9595

9595_support@rbc.com

United Kingdom:

+4420 7653 4451

service.internet@rbc.com

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Positions Page

The Positions application defaults to the Security Positions or Cash Balances page, depending on portal permissions. For users permissioned to view both

Security Positions and Cash Balances, the Security Positions page displays by default.

Note: Only users permissioned to the Security Positions page have access to view the Security Transactions page.

On the Security Positions page information is displayed in ascending alpha order by security name. On the Security Transactions page, information is displayed

by transaction status in the following order, Fail, Unmatched and Other. On the Cash Balances page, information is displayed in ascending alpha order by account

name.

Select the chevron to display a drop-

down menu

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Information can be sorted using any

column header (select the same

column header a second time and

information will be displayed in

reverse order)

Information is displayed in ascending

alpha order

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As a visual reference, the sort order is indicated by a blue border in the column heading. A top blue border reflects ascending order and a bottom blue border

reflects descending order.

For assistance at any time, this Quick Reference Guide is accessible by selecting the ‘question mark’ icon.

Sort order is indicated by

a blue border

Indicates there are underlying cash

instructions associated with the cash

balance

Convenient access to the Quick

Reference Guide

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Filters

Multiple filter options are accessible from the left side of the page. Individual or multiple filters can be selected to sort and display data based on your

preferences. Selected filters appear as ‘filter tags’ that can be removed individually or by using the ‘Clear all filters’ option.

Account Group filters:

Account groups are available as a filter

option for both Securities Positions and

Cash Balances

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Security Positions filters:

Cash Balances filter:

Filter by currency

Filter cash balances by amount/range

To reset filter options, select ‘CLEAR

FILTERS’

Multiple filter options to display data

based on your preferences

Filter by units on loan, currency, asset

category, and country of issue

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Cash Balances Settled Transactions list filter:

The search function displays results

that ‘contain’ the search criteria

entered

Sort and view by transaction type (e.g.,

Foreign Exchange, Cash Voucher, Bond

Interest, Delivery versus Payment, and

more) as well as by Value

Change the ‘As of’ date to view

transactions for a specific day

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Securities Transactions list filter:

Select the refresh button to view the

latest transaction status (this action will

not impact any filters that have been

applied)

Multiple filter options to display data

based on your preferences

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‘As of’ Date

The default ‘As of’ date is the previous day, based on EST regardless of user location (e.g., for Australian clients, the date will appear to be two business days

prior, until EST changes to align with the date in Australia). Dates can be adjusted by year, month and day. If data is unavailable, the dates will appear ‘greyed out’

or a ‘no data is available’ notice may appear.

Note: There may be circumstances where data is unavailable for a specific account, even if a request is within the retention period

(e.g., selecting a date prior to the account opening date).

Data Retention

The Positions application retains historical data on the following basis:

Security Positions: daily end-of-day positions are available for 60 days, and month-end positions are available for three years

Cash Balances: daily end-of-day balances are available for 450 days (approximately 15 months)

Hovering over the information icon beside the ‘As of’ calendar displays the relevant retention period.

‘As of’ date can be adjusted within the

calendar

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Search

The search function in the top middle of the page can be used to quickly find information. For example, on the Security Positions page, you can search by

Security Name, Security ID, Account name, Account ID and nickname.

For convenience, the application displays all results that ‘begin with’ the search criteria entered. If filters have been applied and a search is initiated, the

application will only search the filtered data. On the Cash Balances transaction list, the search filter displays results that ‘contain’ the search criteria entered.

Export to CSV

The export feature enables users to seamlessly export data to a CSV file. Use the ‘Export’ icon located in the top right of the page. All records currently displayed

will be exported into a CSV file for additional data management flexibility. If filters have been applied, the application will export only the filtered data.

Quickly find information using the

search function

Seamlessly export data to a CSV file for

additional data management flexibility

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Position Details and Locations

For detailed information on an individual position, the application features drill-down capabilities. Simply select a line item and additional security and

valuation information is displayed. To view details for a different position, simply return to the Security Positions page and begin a new search.

To return to the Security Positions list page, select the link in the blue navigation bar.

For detailed position information,

the application features drill-down

capabilities

For a security held in multiple

locations, individual location details

can be selected from the drop-down

menu

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Settled Transactions

The Settled Transactions tab provides a consolidated list of all settled transactions for a specific position, based on the ‘As of’ date.

To access the Settled Transactions

tab, select a position from the

Security Positions list page then

select Settled Transactions

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This tab is accessible after selecting

a specific position

Filter by Trade date, Contractual

settlement date, or Actual

settlement date

Select a specific transaction to drill-

down into the transaction details

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Transaction details

This page provides detailed information about the selected transaction, including Transaction History and Transaction Information tabs.

Transaction History tab:

Transaction information tab

Displays information regarding the different stages in the transaction lifecycle including:

Date

Status

Description

Error Codes

View additional security/transaction details

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Browser Best Practices

RBC I&TS is committed to protecting and safeguarding the personal, business and financial data entrusted to us.

As part of this commitment, RBC I&TS would like to advise that the use of older browsers (e.g., Internet Explorer 10 and older versions) may make client data

vulnerable to those looking to obtain data for misuse.

To mitigate this risk, RBC I&TS encourages clients to consistently use the most current version of Internet Explorer or Google Chrome to access our web portals.

rbcits.com

ABOUT RBC INVESTOR & TREASURY SERVICES

RBC Investor & Treasury Services (RBC I&TS) is a specialist provider of asset services, custody, payments and treasury services for financial and other institutional investors worldwide. We

serve clients from 17 countries across North America, Europe, Asia and Australia, delivering services to safeguard client assets, maximize liquidity and manage risk in multiple jurisdictions

with a focus on operational risk management. Our clients have rated RBC I&TS the #1 global custodian for seven consecutive years*, with the highest credit rating among our peers, and over

CAD 4.3 trillion in client assets under administration.

*Source: Global Custody Survey, Global Investor ISF, 2011 to 2017

CONTACT US

If you require further information on RBC I&TS’ Positions application, please contact your RBC I&TS representative.

RBC Investor & Treasury Services™ is a global brand name and is part of Royal Bank of Canada. RBC Investor & Treasury Services is a specialist provider of asset servicing, custody, payments and treasury services for financial and other institutional investors worldwide. RBC Investor & Treasury Services operates primarily through the following companies: Royal Bank of Canada, RBC Investor Services Trust and RBC Investor Services Bank S.A., and their branches and affiliates. In the UK, RBC Investor Services Trust operates through a branch authorized by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. In Australia, RBC Investor Services Trust is authorized to carry on financial services business by the Australian Securities and Investments Commission under the AFSL (Australian Financial Services Licence) number 295018. In Singapore, RBC Investor Services Trust Singapore Limited (RISTS) is licensed by the Monetary Authority of Singapore (MAS) as a Licensed Trust Company under the Trust Companies Act and was approved by the MAS to act as a trustee of collective investment schemes authorized under S 286 of the Securities and Futures Act (SFA). RISTS is also a Capital Markets Services Licence Holder issued by the MAS under the SFA in connection with its activities of acting as a custodian. In Hong Kong, RBC Investor Services Bank S.A. is a restricted license bank and is authorized to carry on certain banking business in Hong Kong by the Hong Kong Monetary Authority. RBC Investor Services Trust Hong Kong Limited is regulated by the Mandatory Provident Fund Schemes Authority as an approved trustee. ® / ™ Trademarks of Royal Bank of Canada. Used under licence.