Compliance

New WEG New Account Form

To keep in line with the current regulatory environment, updates are being made to the WEG New Account Form. Please use the new version immediately. Once released, the old version will not be accepted.

Feel free to contact compliance@weg1.com or operations@weg1.com with any questions.

RBC

New WEG New Account Form

On Tuesday, April 17, 2018, RBC Correspondent Services’ clients will be assessed the annual Alternative Investment –Account Maintenance Fee. The fee will be assessed per position per account based on the number of alternative invest-
ments in the account as of close of business on Wednesday, February 28, 2018.

A preview report titled “Alternative Investment Report” indicating the clients who will be assessed the fee is now available via the Ad Hoc Reporting Tool.

*** Note: This fee is separate from the Safekeeping Fee being charged in March 2018.

Questions? If you have any questions, please contact Billing & Reporting at (800) 949-0242, option 3.

Form Updates Now Available

The forms outlined below were updated earlier this year. It is best practice to use the latest versions available. You may use Docupace to access the most recent version of the forms you may need. If you cannot find the forms that your looking for, please feel free to contact compliance@weg1.com or docupaceadmin@weg1.com with any questions.

Details of the RBC form Update:

Account Transfer Forms (R_UACT and R_UACTs)

• The account type section was removed. Please complete the W-9 if applicable on page 1 or 2
• The account title and type must be referenced in the RBC Receiving and Delivering Firm Account section on page 1
• The previous version of this form will be accepted for 90 days. After that, the previous version will be rejected

Questions? Please feel free to contact compliance@weg1.com or operations@weg1.com with any questions.

Pershing

New Cutoff Time: Unit Investment Trusts

Effective March 1, the cutoff time for unit investment trusts will be 3 p.m. rather than 4 p.m. (ET). Requests sent by 3 p.m. will be processed same day by 8 p.m. Requests received after 3 p.m. will be processed next business day by 8 p.m. Please not that the above times listed are all in Eastern Standard Time designation.

Questions? Please feel free to contact compliance@weg1.com or operations@weg1.com with any questions.