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					                                                                      GENERAL SYSTEM CHARACTERISTICS                    Citigroup Application Information                                                  END USERS                                             INT
       System                    System                           System Description           Disposition               Hardware          Operating       Software         Vendor Licences   AGF   Uni   ITO AGF       Number of       Comm
                                Component                          (Include version)           (In-house /                                  System                            Required for    BPO   BPO                Installations   Protocols
                                                                                                 Vendor)                                                                       Operation



AGF-TAS                                           The AGF TAS System is a highly customized              In house   Sun 6500-24X400Mhz- Client side:  Client side: Power                      Yes   No    No   Yes   100's of users    FTP -
                                                  transfer agency system developed to meet the                      proc 12GB RAM       MS- Windows Builder 7.0 (being                                                                 most over
                                                  unique business needs for AGF. This is made up                    +1.6TB Disk         2000;         upgraded to version                                                              dedictaed
                                                  of the following core system components. Account                                                    10 in September,                                                                 lines
                                                  set-up is done by "systems" people, not Operations                                    Server side: 2005)
                                                  folks.                                                                                Solaris 2.6                                                                                    TCP / IP
                                                                                                                                        (being        Server side: Oracle                                                              to user
                                                                                                                                        upgraded to a 8.1.7 (being                                                                     desktops
                                                                                                                                        later version upgraded to version
                                                                                                                                        in 2006)      10g in 2006)




AGF-TAS                     Shareholder        Order Entry System
                            Processing         Main application for managing client account and
                            Application for    mutual fund transaction orders. Used by client
                            Windows (SPAW)     admin staff to create and maintain client accounts,
                                               input direct orders (from dealers only in printed
                                               form/ specified documentation); orders entered are
                                               processed in the nightly batch for next day.
                                               SWPs, Dividend Options, Certificates, etc are
                                               maintained on this. Prices are not. Client
                                               Services has access to pieces of this. ie - some
                                               changes they can make, but not transactional
                                               information, etc.
AGF-TAS                     Enterprise (IQY)   Inquiry only - Used by Client Services to retrieve
                                               information (financial and non financial) for a client;
                                               can be used to produce duplicates tax receipts and
                                               a/c statements.
AGF-TAS                     TELNET Wire Orders Internally maintained system that is older than
                                               FundServ and Internet applications. Dealers
                                               inquire about fund prices or client information.
                                               Dealers may also place trades if FUNDSERV goes
                                               down. Creates XML messages that get fed into
                                               ESG Parser.




AGF-TAS                     Dealer Service        Data Input - Used to record and maintain
                            System (DSS)          information on dealers, branches, sales reps,
                                                  contacts, intermediaries, and nominee
                                                  registrations. AGF pays the commissions to the
                                                  fund who then redistributes to the reps. Sales
                                                  analysis component feeds dealer information into
                                                  MEI.
                                                  (Head Office, Branch, Sales Rep) or Intermedary.


   as of 9/9/2011
   Citigroup Confidential                                                                                                               AGF-TAS                                                                                                    P. 1 of 115
                                                            GENERAL
                                                          INTERFACESSYSTEM CHARACTERISTICS                Citigroup Application Information          VOLUMES                                                                       INFORMATION SECURITY
       System                      External Inbound            External Outbound        Internal      Internal      # Clients                  # Trans                   # System        Scalability   Developer     Entitlement       Audit   Rights    Encryption
                                                                                       Inbound       Outbound                                                           Components                      access to     Process          Trail Granularity Capability
                                                                                                                                                                                                       production                      (Y/N)
                                                                                                                                                                                                          (Y/N)


AGF-TAS                     ESG Files (FundServ)      ESG Files (FundServ)             ESG Files     ESG Files    1 client       Apx 40,000 transactions per day.      1100 schemas       Moderate     Some         Business        Yes      Network -     Capability
                            Fund Prices (Mpower)      Bank ETF                         (FundServ)    (FundServ)   (ASP)                                                2400 tables                                                           Application - exists, but
                                                      Sales Summary                    Fund Prices   Bank ETF                    Total Accounts, 4 M                   1600 stored                                                           Functionality minimal
                                                      CRM Data                         (Mpower)      Sales                                                             procs                                                                               utilization
                                                      Statements                                     Summary                     Total Open Acocunts 1.5 M             270 triggers
                                                      Confirmation                                   CRM Data                                                          488 gig DB
                                                      Capstock (Mpower)                              Statements                  Typical Systematic transaction day,   1698 Oracle
                                                      HRDC Files (Gov't) via FTP                     Capstock                    100,000                               scripts
                                                      Tax Files (Gov't)                              (Mpower)                                                          600 shell scripts
                                                      VRU voice messages                             HRDC Files                                                        28 Powerbuilder
                                                      Faxes                                          (Gov't)                                                           modules (900
                                                      Mails                                          Tax Files                                                         screens)
                                                                                                     (Gov't)                                                           7000 objects
                                                                                                                                                                       1.5 million active
                                                                                                                                                                       accounts
                                                                                                                                                                       132 million
                                                                                                                                                                       transactions
                                                                                                                                                                       (40,000 a day)
AGF-TAS




AGF-TAS



AGF-TAS




AGF-TAS




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FORMATION SECURITY                                                           HARDWARE
                                                                         GENERAL SYSTEM CHARACTERISTICS                Citigroup STAFF / PROJECTS
                                                                                                                                 Application Information                                                            PROD SUPPORT / APP WELLNESS
                System                    Last      Enviroment    HW Lifecycle Hostname Asset Tag IP Address   # Dev     # Prod   Contractors   Budget   Industry / Tech      Release           Next      Releases # bug fixes   Blackout   Availability /    Monitoring
                                       entilement   (Dev, UAT,    (on support,                     Hardcode    Staff    Support      (Y/N)                  Mandate          Frequency        Scheduled     YTD    per release    Periods      SLA            Capability
                                         review      Prod, etc)      sunset,                         (Y/N)                Staff                                                                Release                         (e.g., RRSP,
                                                                   retirement)                                                                                                                                                   Financial
                                                                                                                                                                                                                                    YE)

         AGF-TAS                      Monthly                                                                      26         19 Y              $4-5M                      4 planned                              2 10 - 20                  24x7            Automated
                                                                                                                                                                           annually plus
                                                                                                                                                                           special projects




         AGF-TAS




         AGF-TAS



         AGF-TAS




         AGF-TAS




             as of 9/9/2011
             Citigroup Confidential                                                                                                  AGF-TAS                                                                                                                      P. 3 of 115
APP WELLNESS                                                                                   UNISEN as
                                                                       GENERAL SYSTEM CHARACTERISTICS a VENDOR Citigroup Application     Information      DISASTER RECOVERY                                CONTROLS                           WEB APPS
               System               # outages Back Up        Data        Type of   # Licenses   Annual    Expiration     Non    Escrow        COB      Time to  Date of DR Plan   # seats    Source    Change  SDLC       Architecture     Ethical   FTP
                                       YTD    Frequency    Retention    Agreement    (Cost)   Maintenance            Disclosure              System     COB    Last Test                     Control   Control              Review          Hack    Usage
                                                                                                 Cost                Agreement              Location
                                                                                                                        (Y/N)


        AGF-TAS                            0 15 minutes   Since        N/A        N/A       N/A          N/A         N/A       N/A          First     4 hours   28-Aug-04 Yes         120   StarTeam Manual   Waterfall   Yes            Yes       Yes
                                                          inception                                                                         Canadian
                                                                                                                                            Place
                                                                                                                                            Building,
                                                                                                                                            Toronto




        AGF-TAS




        AGF-TAS



        AGF-TAS




        AGF-TAS




           as of 9/9/2011
           Citigroup Confidential                                                                                             AGF-TAS                                                                                                          P. 4 of 115
                                                  TSA           GENERAL SYSTEM CHARACTERISTICS   Citigroup Application Information
       System                  Final             Notes            Process
                              Owner




AGF-TAS                     Citi       1. CRM uses API and files.
                                       2. API access for AGF.COM
                                       3. API access for VRU
                                       4. API access for CDS
                                       5. API access for MFTS




AGF-TAS




AGF-TAS



AGF-TAS




AGF-TAS




   as of 9/9/2011
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                                                                       GENERAL SYSTEM CHARACTERISTICS         Citigroup Application Information                                     END USERS                                             INT
       System                    System                            System Description           Disposition    Hardware     Operating     Software   Vendor Licences   AGF   Uni   ITO AGF       Number of       Comm
                                Component                           (Include version)           (In-house /                  System                    Required for    BPO   BPO                Installations   Protocols
                                                                                                  Vendor)                                               Operation



AGF-TAS                     Autofax System (AFS) Tracks dealer relations faxes (settlement reports,
                                                 price lists, etc.). Nightly. Reports are also stored in
                                                 COLD. Does matching of dealers to applicable
                                                 systems.
AGF-TAS                     Batch Report         Troubleshooting for overnight batch problems.
                            Information System
                            (BRIS)
AGF-TAS                     Capped Investment    Allows designated TAS users to authorize purchase
                            (CPI)                transactions for shareholder transactsions in
                                                 capped funds.
AGF-TAS                     Cheque Writing       Used by operators on the overnihgt shift to create
                            (CWR)                physical checks for dealer commissions,
                                                 redemptions, cash dividends, partner distributions,
                                                 and net settlements. Done as part of batch. File
                                                 sent to printer. Operator manages feeding
                                                 checques into printer. Trust Accounting receives
                                                 chequies. Trust Accounting reconciles checks to
                                                 reports. Online applicaion. Includes Reconciliatin
                                                 of cash writing. This has inputs to and from the
                                                 bank.

AGF-TAS                     Cash Recipts (CRR)     Data Input - located in the security cage in TD
                                                   Tower; creates record for each check or electronic
                                                   funds received- scanned image kept and
                                                   transaction indexed. CRR updates SPAW with the
                                                   activity; feature: payment can be split to a two (or
                                                   more?) funds. Interfaces with SPAW and ties
                                                   cheque ID number together with order. Also allows
                                                   CRR to show the breakdown of the order between
                                                   multiple funds.
                                                   Reconciles all Checks received to TAS or Unitrax.
                                                   This also creates the deposit for the bank

AGF-TAS                     Archived Cheque        Used by Trust accounting. Post redemption or
                            Inquiry (ACWR)         commission. Stores details of the outgoing cheque
                                                   as a mock-up or visual representation of orginal.
                                                   Used for inquiry if needed later.




AGF-TAS                     Account              Used by trust accounting. Keeps track of charges
                            Reconciliation (ACC) that we deduct from a redemption and records the
                                                 breakdown of the charges into DSC charges and
                                                 other fees. Trust Accounting hold money between
                                                 transactions or activities.




   as of 9/9/2011
   Citigroup Confidential                                                                                                  AGF-TAS                                                                                          P. 6 of 115
                                                 GENERAL
                                               INTERFACESSYSTEM CHARACTERISTICS             Citigroup Application Information VOLUMES                                                         INFORMATION SECURITY
       System               External Inbound        External Outbound        Internal    Internal    # Clients          # Trans          # System    Scalability   Developer    Entitlement       Audit   Rights    Encryption
                                                                            Inbound     Outbound                                        Components                  access to    Process          Trail Granularity Capability
                                                                                                                                                                   production                     (Y/N)
                                                                                                                                                                      (Y/N)


AGF-TAS



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FORMATION SECURITY                                                          HARDWARE
                                                                        GENERAL SYSTEM CHARACTERISTICS                Citigroup STAFF / PROJECTS
                                                                                                                                Application Information                                                     PROD SUPPORT / APP WELLNESS
                System                   Last      Enviroment    HW Lifecycle Hostname Asset Tag IP Address   # Dev     # Prod   Contractors   Budget   Industry / Tech    Release      Next      Releases # bug fixes   Blackout   Availability /   Monitoring
                                      entilement   (Dev, UAT,    (on support,                     Hardcode    Staff    Support      (Y/N)                  Mandate        Frequency   Scheduled     YTD    per release    Periods      SLA           Capability
                                        review      Prod, etc)      sunset,                         (Y/N)                Staff                                                         Release                         (e.g., RRSP,
                                                                  retirement)                                                                                                                                            Financial
                                                                                                                                                                                                                            YE)

         AGF-TAS



         AGF-TAS


         AGF-TAS


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             as of 9/9/2011
             Citigroup Confidential                                                                                                 AGF-TAS                                                                                                              P. 8 of 115
APP WELLNESS                                                                                  UNISEN as
                                                                      GENERAL SYSTEM CHARACTERISTICS a VENDOR Citigroup Application     Information      DISASTER RECOVERY                               CONTROLS                     WEB APPS
               System               # outages Back Up       Data        Type of   # Licenses   Annual    Expiration     Non    Escrow        COB      Time to  Date of DR Plan   # seats   Source    Change  SDLC   Architecture   Ethical   FTP
                                       YTD    Frequency   Retention    Agreement    (Cost)   Maintenance            Disclosure              System     COB    Last Test                    Control   Control          Review        Hack    Usage
                                                                                                Cost                Agreement              Location
                                                                                                                       (Y/N)


        AGF-TAS



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           as of 9/9/2011
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                                      TSA    GENERAL SYSTEM CHARACTERISTICS   Citigroup Application Information
       System                Final   Notes     Process
                            Owner




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   as of 9/9/2011
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                                                                      GENERAL SYSTEM CHARACTERISTICS         Citigroup Application Information                                     END USERS                                              INT
       System                    System                           System Description           Disposition    Hardware     Operating     Software   Vendor Licences   AGF   Uni   ITO AGF       Number of       Comm
                                Component                          (Include version)           (In-house /                  System                    Required for    BPO   BPO                Installations   Protocols
                                                                                                 Vendor)                                               Operation



AGF-TAS                     Client Admin Team      Used by the assistant to the VP of Administration to
                            Maintenance (CAT)      maintain records on management level employees
                                                   with Client Admin.

AGF-TAS                     Commission         This is used by Trust Accounting and Dealer
                            Maintenance System Relations to store inforamation for weekly
                            (CMS)              commission and quarterly service fees and usued
                                               to create manual adjustments for both. The system
                                               supports service fee maintenace, such as dealer
                                               letters, labels, and all special deals and fund rates.

AGF-TAS                     Dealer Mailing Control Used by Delaer Relations to tweak wihich dealers
                                                   and sales reps wish to receive paper copies of
                                                   statements and confirmations by mail. The goal is
                                                   to encourage the dealers and reps to use electronic
                                                   copies only.
AGF-TAS                     Central Data System Used by Fund Management dept to store historical
                            (CDS)                  prices and distributions to all AGF funds.
                                                   Information used to prepare rates of return for
                                                   funds; information on various currency rates and
                                                   stock 1st bus day of month automatically
                                                   downloads the previous month of prices and
                                                   distribution from TAS market indices for
                                                   comparison purposes.
AGF-TAS                     Dealer Report Control Used to control where various communications
                            (DRC)                  (e.g. statements, confirms, tax slips) actually get
                                                   sent (dealer or rep)
AGF-TAS                     Address Update         Small app to fix address data.
                            (ADD)
AGF-TAS                     Client Merge           Merges 2 clients into 1 client.
                            Application (CMA)
AGF-TAS                     Statement Setup (ST) Configuration for statement runs.

AGF-TAS                     Group RPS (GRP)        This is used by Client Admin to maintain registered
                                                   group plans.
AGF-TAS                     Tax Factor             Maintains tax rates for annual tax slips
                            Maintenance (TFM)
AGF-TAS                     Wire Order System      Accepts, edits and responds to orders in real time
                                                   from dealers/brokers via FundServ.
AGF-TAS                     Batch programs         A series of programs that is run daily, weekly,
                                                   monthly, yearly or some other period. These
                                                   programs perform a large variety of functions such
                                                   as settling orders, creating files for external
                                                   organizations, calculating service fees, allocating
                                                   distributions, generating reports, and many other
                                                   functions.




   as of 9/9/2011
   Citigroup Confidential                                                                                                 AGF-TAS                                                                                          P. 11 of 115
                                                 GENERAL
                                               INTERFACESSYSTEM CHARACTERISTICS             Citigroup Application Information VOLUMES                                                         INFORMATION SECURITY
       System               External Inbound        External Outbound        Internal    Internal    # Clients          # Trans          # System    Scalability   Developer    Entitlement       Audit   Rights    Encryption
                                                                            Inbound     Outbound                                        Components                  access to    Process          Trail Granularity Capability
                                                                                                                                                                   production                     (Y/N)
                                                                                                                                                                      (Y/N)


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   as of 9/9/2011
   Citigroup Confidential                                                                                 AGF-TAS                                                                                                  P. 12 of 115
FORMATION SECURITY                                                          HARDWARE
                                                                        GENERAL SYSTEM CHARACTERISTICS                Citigroup STAFF / PROJECTS
                                                                                                                                Application Information                                                     PROD SUPPORT / APP WELLNESS
                System                   Last      Enviroment    HW Lifecycle Hostname Asset Tag IP Address   # Dev     # Prod   Contractors   Budget   Industry / Tech    Release      Next      Releases # bug fixes   Blackout   Availability /   Monitoring
                                      entilement   (Dev, UAT,    (on support,                     Hardcode    Staff    Support      (Y/N)                  Mandate        Frequency   Scheduled     YTD    per release    Periods      SLA           Capability
                                        review      Prod, etc)      sunset,                         (Y/N)                Staff                                                         Release                         (e.g., RRSP,
                                                                  retirement)                                                                                                                                            Financial
                                                                                                                                                                                                                            YE)

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             as of 9/9/2011
             Citigroup Confidential                                                                                                 AGF-TAS                                                                                                             P. 13 of 115
APP WELLNESS                                                                                  UNISEN as
                                                                      GENERAL SYSTEM CHARACTERISTICS a VENDOR Citigroup Application     Information      DISASTER RECOVERY                               CONTROLS                     WEB APPS
               System               # outages Back Up       Data        Type of   # Licenses   Annual    Expiration     Non    Escrow        COB      Time to  Date of DR Plan   # seats   Source    Change  SDLC   Architecture   Ethical   FTP
                                       YTD    Frequency   Retention    Agreement    (Cost)   Maintenance            Disclosure              System     COB    Last Test                    Control   Control          Review        Hack    Usage
                                                                                                Cost                Agreement              Location
                                                                                                                       (Y/N)


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           as of 9/9/2011
           Citigroup Confidential                                                                                            AGF-TAS                                                                                                  P. 14 of 115
                                      TSA    GENERAL SYSTEM CHARACTERISTICS   Citigroup Application Information
       System                Final   Notes     Process
                            Owner




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   as of 9/9/2011
   Citigroup Confidential                                                                  AGF-TAS                P. 15 of 115
                                                                                                                                                    GENERAL SYSTEM CHARACTERISTICS
      System            System                                                     System Description                                                    System Inception
                       Component                                                    (Include version)                                                         Date


Workflow and Imaging               Scanned documents- applications for funds, checks and transactional documentation. Images are indexed. Images
(IWA)                              are grouped as “workitems”; routed to client admin and information is updated on SPAW for processing in TA.
                                   Images are archived.
FundSERV/ESG                       FundServ is an independent electronic network for mutual fund trading purports to provide “Efficient, secure
Parser                             information exchange, our core services provide the assurance of accurate information and the ability to place,
                                   reconcile and net settle orders.” ESG Parser is the gateway between FundServ and TAS/Unitrax.

Linian (Mpower)                    Fund Accounting System
                                   Star Data is the vendor for the package for portfolio and accounting to monitor/value accounts and create reports
                                   on rates of return. Provides all inputs for overnight batch process. Has an interface to market data e.g. stock prices
                                   and provides output to Toronto Globe and Mail. The path of corporate action flow is not documented.
                                   http://www.stardata.com/mpower/                              Version 5.1. Code splits along clients. Base installed to
                                   clients, everything else is custom. Current version is 6. No plans to update.             A version of Mpower is
                                   running for AGF-TAS, and a seperate instance is run for all other BPO clients




Voice Response Unit                Handles client inquiry calls with pre-recorded messages in 2 languages. Supports calls related to fund prices,
(VRU)                              account information, marketing, and statement requests.
                                   DOES UNISON OWN CODE OR IS IT A VENDOR PRODUCT. Consultant in Chicago??
Central Data System                Used by Fund Management dept to store historical prices and distributions to all AGF funds. Information used to
(CDS)                              prepare rates of return for funds; information on various currency rates and stock 1st bus day of month
                                   automatically downloads the previous month of prices and distribution from TAS market indexes for comparison
                                   purposes.
                                   The system is currently bundled within AGF TAS.
TEM CHARACTERISTICS
         Prod System   Business Owner    Technology                   Disposition            Hardware                    Operating System       Software
           Location                        Owner                  (In-house / Vendor)


                                                       Mostly Vendor, with few in-house      Intel Servers   Windows 2000                   Refer to the
                                                       components. Refer to the previous tab                                                previous tab for a
                                                       for a complete list of vendor s/w                                                    complete list of
                                                       Fundserv, Inc. and In-house           same as AGF TAS same as AGF TAS                vendor s/w
                                                                                                                                            Java based
                                                                                                                                            programs


                                                       Vendor, Stardata                  ASP on HP         ASP                              Powerhouse;
                                                       CGI                                                                                  Oracle.
                                                                                                                                            Powerhouse
                                                                                                                                            software has same
                                                                                                                                            issues as Unitrax,
                                                                                                                                            but have additional
                                                                                                                                            time (2 years) to
                                                                                                                                            remediate. They
                                                                                                                                            are re-writing.
                                                                                                                                            Should get this in
                                                                                                                                            contracts.




                                        3rd Party - IVR DCM Software                                                                        VRU system by
                                                                                                                                            DCM Software

                                                       In-house
                                                                             END USERS                                                                                                  INT
      Vendor Licences Required for      AGF BPO   Uni BPO        ITO              AGF                 Number of Installations                             Comm
               Operation                                                                                                                                 Protocols


Global 360 licenses                    Yes        Yes       No         No (now)                                                 1   TCP/IP
DataCap licenses
Eastman license (to end before 2006)                                   Yes (future) for AGF Trust                                   Native Driver Links (to both AGF TAS and Unitrax)
n/a                                    Yes        Yes       Yes        No                           ESG Parser:                     FundServ provides API - communication over
                                                                                                    AGF BPO - 1                     dedicated line
                                                                                                    Unisen BPO - 1
                                                                                                    Unisen ITO - 4
ASP                                    Yes        Yes       No         Yes                          1 - AGF
                                                                                                    1 - UNI BPO




Yes                                    No         No        No         No
          INTERFACES                                                                                                                             VOLUMES
 External Inbound               External Outbound                Internal         Internal         # Clients                           # Trans                                # System        Scalability
                                                                Inbound          Outbound                                                                                    Components


None                    None                                  Docs            Web Reports        100+ (online Avg. of 130,000 monthly transactions                        3 major components: Moderate
                                                                                                 users)        Avg of 170,000 monthly transactions during RRSP            Imaging
                                                                              Retrieved Docs                   season (JAN-MAR)                                           Workflow
XML message from        XML message to FundServ               Faxes in
                                                              XML             flat file to TAS              95 AGF - 140,000 per month                                    Archival components: High
                                                                                                                                                                          2 major
FundServ                                                      message                                          Unisen02 - 80,000 per month                                XML Parser and
                                                              from TAS                                         Unisen03 - 55,000 per month                                UPSS
                                                                                                               Unisen04 - 15,000 per month
StarSource (CGI         Globe and Mail - pricing and          Excel           AGF TAS -          40's          160 NAVs daily (probably more). Some weekly and                               Limited in AI
vendor) - for price     distribution                                          price file                       monthly NAV.                                                                  and Hedge
Bloomberg - for         FundData - pricing and distribution                   Unitrax - price                  Multi-currancy                                                                Funds
corporate action        CIBC bank download - bank                             file                             multi-classes and series (could be shared at portfolio -
FRI - pricing service   statement info                                                                         different than US)
for Fixed Income        Royal Trust                                                                            Master/feeder structure exists
Cannex                  Chase Manhattan                                                                        42,575 trades for AGF Funds (Year-to-date)
Bloomberg FX -          Bank of Montreal
foreign exchange        Merrill Lynch
rates. They send        Bear Sterns
holding report to       BMO Nesbitt Burns
procing vendors,        Correspondent Network
they send back          CIBC Workbench
pricing files which     TD Waterhouse
are uploaded to         Royal Trust
Mpower.                 TD Business Window
None                    Voice response msg / report by fax    Direct                             Investors +   Less than 100 calls a day
                                                              connection to                      Sales Reps
                                                              TAS DB
                                                                                                INFORMATION SECURITY
        Developer access to production                       Entitlement Process              Audit Trail                             Rights Granularity                           Encryption
                    (Y/N)                                                                       (Y/N)                                                                              Capability


Yes                                                  Access is related to individual role and Yes           Functional Level. Maintained through web-based access, developed       No
                                                     managed as part of the transfers and                   separatly from application. Can not run entitlements reports, but in
                                                     employee turnaround.                                   database. Can self-administer rights. Reporting didn't have logon.
Y                                                    n/a                                      Y             n/a                                                                    Yes
Have access to change rules. Developers have
access to the properties files of the application.

Need to clarify around support issues. Not sure.     CGI sets up new user id; business       Yes. This is   Yes
                                                     provides application access             audited by
                                                                                             PWC.
                                                        HARDWARE                                                                    STAFF / PROJECTS
      Last entilement    Environment (Dev,   HW Lifecycle (on Hostname   Asset Tag   IP Address   # Dev Staff     # Prod           Contractors    Budget
          review          UAT, Prod, etc)    support. sunset,                         Hardcode                   Support              (Y/N)
                                               retirement)                              (Y/N)                      Staff

N/A                                                                                                          2            2 Consulting as part of the
                                                                                                                            maintenance agreement

n/a                                                                                               2 (less after 2 (not full- N                          40K
                                                                                                  release)      time)


Audited internally                                                                                                               ASP 3rd Party Service Provider
monthly for cost
breakdown, but not for
granular entitlements
(they do review
employee listing).
ECTS                                                                                                            PROD SUPPORT / APP WELLNESS
              Industry / Tech Mandate     Release        Next         Releases YTD        # bug fixes   Blackout Periods         Availability / SLA             Monitoring
                                         Frequency     Scheduled                          per release      (e.g., RRSP,                                         Capability
                                                        Release                                           Financial YE)

              Financial Archival        3 / yr                     1 (2nd for                                             17 x 6 (17x7 during RRSP)           Automated
              Mandates & Retention                                 implementation end of
              Policies.                                            Aug05)
              Industry (ESG regular     Once a year                                    1 n/a                              Unitrax: 7*24 (5 minutes downtime   Yes
              release)                                                                                                    for restarting)   Agf: downtime
                                                                                                                          from 12:00 am to 4:00 am

ce Provider                             As requested                                                                      See contracts. Monthly reporting    n/a
                                                                                                                          available.
                                                                                           UNISEN as a VENDOR                                              DISASTER RECOVERY
        # outages YTD                Back Up        Data          Type of     # Licenses     Annual     Expiration        Non      Escrow   COB System Time to COB  Date of
                                    Frequency     Retention      Agreement      (Cost)     Maintenance                Disclosure             Location              Last Test
                                                                                              Cost                    Agreement
                                                                                                                         (Y/N)
                                   Daily        So far, Since                                                                               1FC. But not      N/A          N/A
                                                inception                                                                                   fully functional.

FundServ Connection down:          Same as TAS Since            n/a          n/a           n/a         n/a           n/a           n/a      FCP              within 4 hours 2004/12 for
AGF: 2 time           Unitrax: 5               inception                                                                                                                    TDG
times for variant boxes.

2. "Incidents." Incident reports                No clear        n/a          n/a           n/a         n/a           n/a           n/a      Markham (CGI 4 hours                 Jan-05
take 4 months to be produced.                   policy, but                                                                                 COB site)
Note FTP service is considered                  reg. requires
non-critical, but is how pricing                7 years. De
files are uploaded.                             facto is they
                                                have
                                                everything.
R RECOVERY                                              CONTROLS                                             WEB APPS                                                                       TSA
             DR Plan    # seats    Source    Change       SDLC   Architecture Review                 Ethical Hack               FTP Usage    Final                     Notes
                                   Control   Control                                                                                        Owner


         N/A           N/A        Manual     Manual     BPO /        Prioritization &   No. Will require EH - uses EJB as      N/A          Citi     1. Internal only.
                                                        Releases     Vendor Meetings    middleware laver to retreive                                 2. Trust Department will need to have
                                                                                        documents. Site is sub agf.com site.                         own system as they are repatriated.
         Yes           n/a        CVS        StarTeam                During new phase   n/a                                    n/a          Citi
                                                                     design


         Yes                 55                 ASP 3rd Party Provider - CGI            N/A                                    N/A          Citi     1. AGF Fund Managers have access to
                                                                                                                                                     Mpower
                                                                                                                                                     2. Access directly.
                                                                                                                                                     3. Charles River project open.
                                                                                                                                                     4. Unisen Fund Services reports to
                                                                                                                                                     several custodian on certain securities
                                                                                                                                                     on behalf of AGF.
                                                                                                                                                     PIM Database?




                                                                                                                                            Citi     1. File Feed.
                                                                                                                                                     2. Limitations for other Tier 1 clients.

                                                                                                                                            AGF      1. Extracts from AGF-TAS.
TSA
                      Process



      RightFax architecture - Note to TI. Make
      sure we understand RightFax environment,
      including COB ramifications.
                                                                                                                                                         GENERAL SYSTEM CHARACTERISTICS
       System            System                                                      System Description                                                       System Inception
                        Component                                                     (Include version)                                                            Date


Marketing Fulfillment               Place and track marketing matrerials to support the sales campaign, sales and custodian service functions. Back
and Tracking System                 end warehouse and inventory management system was purchased from Radio Beacon Inc. MFTS supports AGF,
(MFTS)                              Harmony, Citibank, AGF Trust.
                                    The system is currently bundled within AGF TAS.
                                    Real Time inquiry only web site for AGF TAS
AGF.COM                             This will be migrated to AGF for hosting. We need to look at how agf.com will be reading EOM going forward.
AGFadvisor.com
AGF HR System                       Oracle e-business suite 11.0.3
                                    HR System. Used for Statement and Confirm names and addresses for key AGF shareholder. (confidentiality
                                    reasons)
Enterprise Output                   Creates source files from TAS and Unitrax data to send to vendor for Confirm and Statement Reporting. Printing
Management (EOM)                    vendor is St. Joseph's




CRM                                 PeopleSoft CRM 8.4
                                    Receives feeds nighlty from AGF TAS. This data is used by wholesalers for customer service.




Banks, government,                  TAS interfaces with various external systems belonging to banks (e.g. for EFT), government (e.g. for tax slip
printers                            reporting, registered education grants) and printers (e.g for quarterly statements). Output is generally a "flat" file or
                                    XML based.
EOL 12/31/2005
TEM CHARACTERISTICS
         Prod System   Business Owner   Technology                  Disposition                 Hardware                  Operating System       Software
           Location                       Owner                 (In-house / Vendor)


                                                     AGF



                                                     In-house


                                                     Oracle                                                                                  Oracle e-Business


                                                     In-house built using vendor           Intel Servers   Windows 2000                      Refer to the
                                                     technologies for composition and mail                                                   previous tab for a
                                                     packaging                                                                               complete list of
                                                                                                                                             vendor s/w




                                                     PeopleSoft                                                                              Crystal Reports
                                                                                                                                             Writer 8.5, 9.0
                                                                                                                                             PeopleSoft Portal
                                                                                                                                             8.1
                                                                                                                                             EPM 8.8
                                                                                                                                             People Tools
                                                                                                                                             8.44.10
                                                                           END USERS                                                   INT
   Vendor Licences Required for         AGF BPO   Uni BPO      ITO              AGF        Number of Installations          Comm
            Operation                                                                                                      Protocols


                                       Yes



                                       Yes


                                       Yes


Dialogue Licenses (Server & Dev)       Yes        Yes       Yes (as of Yes (indirect)   4 Server (Dev, UAT, Prod &   FTP
StreamWeaver Licenses (Server & Dev)                        Oct-05)                     DR) for both Dialogue &
                                                                                        StreamWeaver

                                                                                        3 Client installations for
                                                                                        Developers




                                       Yes
         INTERFACES                                                                                                                   VOLUMES
External Inbound        External Outbound                Internal          Internal        # Clients                        # Trans                           # System      Scalability
                                                        Inbound           Outbound                                                                           Components




None            PostScript Files sent to Print Vendor Data Files       Online Docs       Limited        Avg. 110,000 monthly mailing packages (non-peak)  Composition      Moderate
                over encrypted line.                  from AGF         availability on   internal users
                                                      TAS & Unitrax    the web                          Avg. 250,000 monthly mailing packages during peak Mail Packaging
                Online Docs Availability for AGF on                                      40+ Unisen (year-end and semi-annual statements) season [JAN,
                agf.com (Advisor Zone)                Data File from   PDF format        client         FEB and JULY]                                     Web Access
                Proofs are sent to clients via email the eBusiness     output for        companies
                to review before being sent to Print WebTeam for       internal use
                Vendor                                users web
                                                      access




Yes             Yes
                                                                       INFORMATION SECURITY
      Developer access to production          Entitlement Process    Audit Trail                       Rights Granularity    Encryption
                  (Y/N)                                                (Y/N)                                                 Capability




Yes                                    Access Control               Yes       Platform & Application                        Yes when
                                                                                                                            externally
                                                                                                                            transfer files
                                                                                                                            to print
                                                                                                                            vendor
                                                   HARDWARE                                                                 STAFF / PROJECTS
  Last entilement   Environment (Dev,   HW Lifecycle (on Hostname   Asset Tag   IP Address   # Dev Staff    # Prod         Contractors    Budget
      review         UAT, Prod, etc)    support. sunset,                         Hardcode                  Support            (Y/N)
                                          retirement)                              (Y/N)                     Staff




N/A                                                                                                    4         3 Y (2)
ECTS                                                                                              PROD SUPPORT / APP WELLNESS
       Industry / Tech Mandate    Release      Next      Releases YTD       # bug fixes   Blackout Periods         Availability / SLA     Monitoring
                                 Frequency   Scheduled                      per release      (e.g., RRSP,                                 Capability
                                              Release                                       Financial YE)




       PIPEDA                            3                              1                                   Processing: 5 days a week   Semi-Automated

       Investor Communication                                                                               Doc Availability 17x6
       Regulations

       Financial Documents
       Retention Policies
                                                                     UNISEN as a VENDOR                                             DISASTER RECOVERY
# outages YTD       Back Up       Data       Type of    # Licenses     Annual     Expiration       Non      Escrow   COB System Time to COB  Date of
                   Frequency    Retention   Agreement     (Cost)     Maintenance               Disclosure             Location              Last Test
                                                                        Cost                   Agreement
                                                                                                  (Y/N)




                1 Daily        Since                                                                                 TD Tower   Within 2       2004
                               Inception                                                                                        business
                                                                                                                                days
R RECOVERY                                            CONTROLS                                         WEB APPS                                                              TSA
             DR Plan   # seats    Source    Change      SDLC   Architecture Review             Ethical Hack        FTP Usage      Final                   Notes
                                  Control   Control                                                                              Owner


                                                                                                                                 AGF      1. Migrate out AGF - TAS Oracle
                                                                                                                                          database.


                                                                                           Y                                     AGF      1. Extrats and API


                                                                                                                                 AGF      January 1, 2006 cut.


         Yes                 2   Manual     Manual    Release /   Prioritization Meeting                          Yes (through   Citi     1. Printer interfaces.
                                 Internal             BPO                                                         secure                  2. IWA (Imaging Workflow, Archiving).
                                 Control                                                                          connection)             In process of creating web interfaces.




                                                                                                                                 AGF      1. AGF uses it 90%
                                                                                                                                          2. Unisen uses remaining 10%




                                                                                                                                 Citi
TSA
                       Process




      1. Formalize interface with AGF TAS. 2.
      Formalize Unisen staff access.
                                                                                                                                           GENERAL SYSTEM CHARACTERISTICS
       System         System                                                  System Description                                                System Inception
                     Component                                                 (Include version)                                                     Date


MEI Universell                   Slated for retirement by year end.
                                 Universell Sales Tracking & Contract Management system: sales force automation tool for AGF internal Sales and
                                 some external wholesalers. Updated from the nightly batch from TAS and available for planning and executing
                                 sales actions. Speaks with ARP, TAS, and Harmony systems. Dial-in interface for dealers.
Computer Output to               Slated for retirement by year end.
Laser Disk (COLD)                Repository of reports on CD-ROM allowing users to review.
Retired
Electronic Service
Note (ESN)
Email                            Lotus Domino 6.5.2 FP1 , 2 Physical Boxes running 4 Domino Partions each, NotesMail00, NotesMail01,                       1998
                                 NotesMail02, NotesApp01, NotesMail00x, NotesMail01x, NotesMail02x, NotesApp01x




Blackberry                       Blackberry Enterprise Server 4.0.1.21 (SP1, HF3). 3 Blackberry Enteeprise Servers                                         2001
TEM CHARACTERISTICS
         Prod System    Business Owner    Technology               Disposition                   Hardware                   Operating System       Software
           Location                         Owner              (In-house / Vendor)


                                                       MEI



                                                       THIS IS A VISION FOR 3 YEAR.S
                                                       NOT BY END OF THIS YEAR.



         Matheson &    Corporate         Production    Vendor Application. In-House Support 2 IBM NetFiity   Windows 2000 SP4                  Domino R6.5.2
         TD                              Serivices -                                        8500's                                             FP1
                                         Lotus Notes
                                         Team




         Matheson &    Corporate         Production    Vendor Application. In-House Support 3 Dell 2650's    Windows 2003                      BES 4.0.1.21,
         TD                              Serivices -                                                                                           Domino 6.5.2 FP1,
                                         Lotus Notes                                                                                           Windows 2003
                                         Team
                                                                          END USERS                                                            INT
    Vendor Licences Required for        AGF BPO   Uni BPO     ITO              AGF    Number of Installations                       Comm
             Operation                                                                                                             Protocols




Domino Server CPU License, Lotus       Yes        Yes       Yes     Yes                                   1500    TCP/IP, HTTP
Notes Client Licenses




Domino Server CPU License,             Yes        Yes       Yes     Yes                                     200   TCP/IP,HTTP, HTTPS
Blackberry Enterprise Server license
          INTERFACES                                                                                VOLUMES
 External Inbound           External Outbound       Internal      Internal   # Clients    # Trans              # System     Scalability
                                                   Inbound       Outbound                                     Components




Desjardins problem   Desjardins problem log DB   CRM, BES      CRM, BES            1500                                    Yes, but not
log DB                                                                                                                     without
                                                                                                                           additional
                                                                                                                           h/w upgrades




                                                 Notes         Notes                200                                    Yes
                                                                                INFORMATION SECURITY
     Developer access to production           Entitlement Process             Audit Trail                        Rights Granularity                              Encryption
                 (Y/N)                                                          (Y/N)                                                                            Capability




No                                    All new employees are assigned a       Y         Lotus Notes Team has admin rights to the servers at a files system and   nternal Notes
                                      Lotus Notes account via a New Hire               appliation level. Users only have access to Lotus Notes databases as     to Notes
                                      IS Service Request                               granted by ACL's                                                         encryption




No                                    Senior management approval              Y        Lotus Notes Team has admin rights to the servers at a files system and   Standard
                                      required to purchase a Blackberry and            appliation level. Users only have access to Lotus Notes databases as     BES
                                      to get integrated with the corporate e-          granted by ACL's                                                         encyption
                                      mail system. Requested via an IS                                                                                          technology
                                      Service Request.
                                                 HARDWARE                                                               STAFF / PROJECTS
Last entilement   Environment (Dev,   HW Lifecycle (on Hostname   Asset Tag   IP Address   # Dev Staff    # Prod       Contractors    Budget
    review         UAT, Prod, etc)    support. sunset,                         Hardcode                  Support          (Y/N)
                                        retirement)                              (Y/N)                     Staff




                                                                                                     0            4N                 $80, 0000




                                                                                                     0 Included    Y                 $,2000
                                                                                                       Within
                                                                                                       email
ECTS                                                                                                 PROD SUPPORT / APP WELLNESS
       Industry / Tech Mandate     Release         Next      Releases YTD      # bug fixes   Blackout Periods         Availability / SLA            Monitoring
                                  Frequency      Scheduled                     per release      (e.g., RRSP,                                        Capability
                                                  Release                                      Financial YE)




                                 Vendor                                     1 Varies                                                       99.998 auto paging,
                                 releases                                                                                                         SNMP, native
                                 quarterly                                                                                                        application
                                 updates, We
                                 apply as
                                 required.
                                 Major
                                 releases
                                 applied 12-24
                                 months
                                 Vendor                                     1 Varies                                                       99,998 auto paging,
                                 releases                                                                                                         SNMP, native
                                 updates and                                                                                                      application
                                 fixes as
                                 required.
                                 Major
                                 releases
                                 applied
                                 annually.
                                                                         UNISEN as a VENDOR                                             DISASTER RECOVERY
# outages YTD        Back Up       Data          Type of    # Licenses     Annual     Expiration       Non      Escrow   COB System Time to COB  Date of
                    Frequency    Retention      Agreement     (Cost)     Maintenance               Disclosure             Location              Last Test
                                                                            Cost                   Agreement
                                                                                                      (Y/N)




                0 Nightly       30 days for                                                                              TD and     immediate      2005
                                daily backup,                                                                            Matheson
                                30 days for
                                weekly
                                backups and
                                2 years for
                                monthly
                                backup.


                1               30 days for                                                                              TD and     1 hour         2005
                                daily backup,                                                                            Matheson
                                30 days for
                                weekly
                                backups and
                                2 years for
                                monthly
                                backup.
R RECOVERY                                              CONTROLS                                WEB APPS                                                            TSA
             DR Plan   # seats   Source     Change        SDLC   Architecture Review    Ethical Hack        FTP Usage    Final                  Notes
                                 Control    Control                                                                     Owner


                                                                                                                        AGF      EOL, but has links to CRM system



                                                                                                                        Citi     Replaced by IWA product.




         Yes              1500             ITIL                    Conducted annually                      none         AGF      1. Rebranding issues
                                           Change                                                                                2. Security issues
                                           control                                                                               3. Blackberry Access
                                           process in                                                                            4. Also have some AGF employeeson
                                           place                                                                                 Unisen site
                                                                                                                                 5. ~400 people will remain in AGF
                                                                                                                                 6. Lotus notes databases



         Yes. Note:        150             ITIL                    Conducted annually                      none         AGF      See above
         Unisen                            Change
         does not                          control
         have DR                           process in
         capability                        place
TSA
      Process
                                                                                                                                                    GENERAL SYSTEM CHARACTERISTICS
       System              System                                                    System Description                                                  System Inception
                          Component                                                   (Include version)                                                       Date


Email content filtering               MimeSweeper for SMTP 5.1, 2 Servers                                                                                           2001
and virus scanning




Domino WebMail and                    Lotus Domino 6.5.2 FP1, 2 Servers                                                                                             2001
Web Application




Financials                            Oracle Financials



AdvisorTrax                           Browser based inquiry for advisors to view his/her book with investors' account, transaction details and commission           2000
                                      information
                                      1 code base with Advisor

InvestorTrax                          Browser based inquiry for investors to view account and transaction details                                                   1999
TEM CHARACTERISTICS
         Prod System    Business Owner    Technology               Disposition                   Hardware                     Operating System       Software
           Location                         Owner              (In-house / Vendor)


         Matheson &    Corporate         Production    Vendor Application. In-House Support 2 Dell 2650's    Windows 2003                        MailSweeper
         TD                              Serivices -                                                                                             SMTP 5.1
                                         Lotus Notes
                                         Team




         Matheson &    Corporate         Production    Vendor Application. In-House Support 2 Dell 2650's    Windows 2000 SP4                    Domino R6.5.2
         TD                              Serivices -                                                                                             FP1
                                         Lotus Notes
                                         Team




         Mississauga   BPO               ITO           In House                             IBM iSeries Server OS 400 V5 R2                      WebSphere, IBM
                                                                                            Platform (formerly                                   Http Server
                                                                                            AS400).

         Mississauga   BPO               ITO           In House                             IBM iSeries Server OS 400 V5 R2                      WebSphere, IBM
                                                                                            Platform (formerly                                   Http Server
                                                                                            AS400).
                                                                               END USERS                                                              INT
   Vendor Licences Required for            AGF BPO   Uni BPO       ITO              AGF    Number of Installations                         Comm
            Operation                                                                                                                     Protocols


Mailsweper for SMTP per user license   Yes           Yes       Yes       Yes                                   1500      TCP/IP, HTTP




Domino Server CPU License, SSL         Yes           Yes       Yes       Yes                                     100     TCP/IP, HTTP, HTTPS
Global Certificates




WSAD                                   n             n         y         n                                           1   HTTP via SSL



WSAD                                   n             n         y         n                                           2   HTTP via SSL
             INTERFACES                                                                                                   VOLUMES
    External Inbound      External Outbound      Internal      Internal       # Clients                         # Trans                 # System             Scalability
                                                Inbound       Outbound                                                                 Components


                                                                                    1500                                                                Yes




Job Scout (Resume                             Notes         Notes                    100                                                                Yes
processing)




n                   n                         Stored        Stored                        2 1500 access per month                   28 stored procedures y
                                              procedures    procedures call
                                              callfrom      to Unitrax
                                              Unitrax
n                   n                         Stored        Stored                    12 2000 access per month                      22 stored procedures y
                                              procedures    procedures call
                                              callfrom      to Unitrax
                                              Unitrax
                                                                                 INFORMATION SECURITY
     Developer access to production          Entitlement Process               Audit Trail                        Rights Granularity                                 Encryption
                 (Y/N)                                                           (Y/N)                                                                               Capability


No                                    All employees who have mail stopped Y             Lotus Notes Team has admin rights to the servers at a files system and
                                      by the spam filters are generated a               appliation level. Users have access PMM area as granted by
                                      PMM account                                       Administrators




No                                    Management approval required to       Y           Lotus Notes Team has local admin rights to the servers at a files system SSL
                                      grant access thorugh a browser to                 level. Users only have access to Lotus Notes databases as granted by Certificates
                                      employee mail files. Requested via an             ACL's
                                      IS Service Request




y                                     Business                             y            Application                                                              y



y                                     Business                             y            Application                                                              y
                                                 HARDWARE                                                               STAFF / PROJECTS
Last entilement   Environment (Dev,   HW Lifecycle (on Hostname   Asset Tag   IP Address   # Dev Staff    # Prod       Contractors    Budget
    review         UAT, Prod, etc)    support. sunset,                         Hardcode                  Support          (Y/N)
                                        retirement)                              (Y/N)                     Staff

                                                                                                     0 Included    N                     1500
                                                                                                       Within
                                                                                                       email




                                                                                                     0 Included    N                   $3,000
                                                                                                       Within
                                                                                                       email




                                                                                                         2 (shared N
                                                                                                         with other
                                                                                                         *Trax
                                                                                                         products)
                                                                                                         2 (shared N
                                                                                                         with other
                                                                                                         *Trax
                                                                                                         products)
ECTS                                                                                                 PROD SUPPORT / APP WELLNESS
       Industry / Tech Mandate     Release         Next      Releases YTD      # bug fixes   Blackout Periods         Availability / SLA            Monitoring
                                  Frequency      Scheduled                     per release      (e.g., RRSP,                                        Capability
                                                  Release                                      Financial YE)

                                 Vendor                                     1 Varies                                                       99,998 auto paging,
                                 releases                                                                                                         SNMP, native
                                 updates and                                                                                                      application
                                 fixes as
                                 required



                                 Vendor                                     1 Varies                                                         100 auto paging,
                                 releases                                                                                                        SNMP, native
                                 quarterly                                                                                                       application
                                 updates, We
                                 apply as
                                 required.
                                 Major
                                 releases
                                 applied 12-24
                                 months




                                 N                                          0 N/A                              7*24                              Y (Sitescope)



                                 N                                          0 N/A                              7*24                              Y (Sitescope)
                                                                          UNISEN as a VENDOR                                             DISASTER RECOVERY
# outages YTD         Back Up       Data          Type of    # Licenses     Annual     Expiration       Non      Escrow   COB System Time to COB  Date of
                     Frequency    Retention      Agreement     (Cost)     Maintenance               Disclosure             Location              Last Test
                                                                             Cost                   Agreement
                                                                                                       (Y/N)
                 0               30 days for                                                                              TD and     immediate               2005
                                 daily backup,                                                                            Matheson
                                 30 days for
                                 weekly
                                 backups and
                                 2 years for
                                 monthly
                                 backup.
                 0               30 days for                                                                              TD and     immediate.              2005
                                 daily backup,                                                                            Matheson   The failover is
                                 30 days for                                                                                         manually
                                 weekly                                                                                              controlled by
                                 backups and                                                                                         the employee
                                 2 years for                                                                                         they just
                                 monthly                                                                                             select the
                                 backup.                                                                                             secondary url


                                 Since
                                 inception


                11 Every month   Since                                                                                    N/A        72 hours          N/A
                                 inception


                11 Every month   Since                                                                                    N/A        72 hours          N/A
                                 inception
R RECOVERY                                                 CONTROLS                                      WEB APPS                                                 TSA
             DR Plan    # seats     Source     Change        SDLC   Architecture Review          Ethical Hack        FTP Usage    Final                  Notes
                                    Control    Control                                                                           Owner


         Yes                1500              ITIL                    Conducted annually                            None         AGF      See above
                                              Change
                                              control
                                              process in
                                              place



         Yes                 100              ITIL                    Conducted annually   Yes                      None         AGF      See above
                                              Change
                                              control
                                              process in
                                              place




                                                                                                                                 AGF      1. Expense Approvals
                                                                                                                                          2. Purchase Approvals
                                                                                                                                          3. Procurement
                                                                                                                                          4. Financials
         Y             1 (shared    CVS       RFS                                          N/A                                   Citi
                       with other
                       *Trax)

         Y             1 (shared    CVS       RFS                                          N/A                                   Citi
                       with other
                       *Trax)
TSA
      Process
                                                                                                                                                 GENERAL SYSTEM CHARACTERISTICS
       System            System                                                   System Description                                                  System Inception
                        Component                                                  (Include version)                                                       Date


MarketTrax                          A web based graphical user interface for researching sales records and producing sales reports for Unitrax data              1997
                                    Used by wholesalers - sales guys at fund company.


Navigator                           A web based graphical user interface for accessing account and transaction details for Unitrax data                          1999
                                    Customer service reps at fund company



Bloomberg                           Bloomberg interactive terminal                                                                                    N/A




Bloomberg                           Bloomberg data license (batch mode on Mpower terminal)                                                            N/A



Business Intelligence               TABI                                                                                                              N/A



Business Intelligence               Acorn BO Report and DTS support                                                                                            May-05




Business Intelligence               SSSO                                                                                                              N/A
TEM CHARACTERISTICS
         Prod System       Business Owner    Technology                Disposition                    Hardware                   Operating System        Software
           Location                            Owner               (In-house / Vendor)


         Mississauga      BPO               ITO           In House                            IBM iSeries Server OS 400 V5 R2                       WebSphere, IBM
                                                                                              Platform (formerly                                    Http Server
                                                                                              AS400).

         Mississauga      BPO               ITO           In House                            IBM iSeries Server OS 400 V5 R2                       WebSphere, IBM
                                                                                              Platform (formerly                                    Http Server
                                                                                              AS400).


         Multiple                           EEA           Vendor (with controlled customization PCs              WIN2K                              Bloomberg
         terminals at     AGF Fund                        from vendor)                                                                              Software
         AGF              Management
         (Toronto),       Unisen Fund
         Unisen           Accounting
         (Mississauga),   AGF Private
         AGF PIM          Investment
         (Montreal)       Management
         Accessed         AGF Fund          EEA           Vendor                              No                 No                                 No
         using FTP        Management /
                          Unisen Fund
                          Management
         Matheson         Unisen BPO        EEA           In House                            Unix, WinTel, PCs Solaris, Win2K                      WEBI, Oracle,
         DataCentre                                                                                                                                 Informatica, BO
                                                                                                                                                    client

         Matheson         Unisen Finance    EEA           In House                            Unix, WinTel, PCs Solaris, Win2K                      Oracle,
         DataCentre                                                                                                                                 Informatica, BO
                                                                                                                                                    client, SQLServer,
                                                                                                                                                    Acorn

         Matheson         AGF Sale          EEA           In House                            Unix               Solaris                            Oracle
         DataCentre
                                                                           END USERS                                                                   INT
      Vendor Licences Required for       AGF BPO   Uni BPO       ITO            AGF    Number of Installations                              Comm
               Operation                                                                                                                   Protocols


WSAD                                 n             n         y         n                                         1    SOAP via SSL



WSAD                                 n             n         y         n                                         1    SOAP via SSL




Yes                                                X                   X                                         30   TCP/IP (over a dedicated link)




Yes                                                X                   X                                         3    FTP



Yes                                  X                                                                           39   http, SQLNet, ODBC



Yes                                                                                                                   http, SQLNet, ODBC




No                                                                     X                                         48   http, SQLNet
             INTERFACES                                                                                                       VOLUMES
    External Inbound      External Outbound        Internal        Internal       # Clients                         # Trans                  # System            Scalability
                                                  Inbound         Outbound                                                                  Components


n                   n                         SQL             Sql statement               21 600 access per month                       8 tables            y
                                              Statement       call to Untrax
                                              from Unitrax

n                   n                         Stored          Stored                      10 600 access per month                       17 stored procedures y
                                              procedures      procedures call                                                           and 104 unitrax
                                              from Unitrax    and sql                                                                   Tables
                                                              statement call to
                                                              Unitrax
Yes                 No                        No              No                          30 Unknown                                    Unknown             N/A




Yes                 No                        No              No                              2 Unknown                                 Unknown             N/A



                                              X               X                           39 Unknown                                    Unknown             N/A



                                              X               X                               3 Unknown                                 Unknown             N/A




                    X                         X               X                           48 Unknown                                    Unknown             N/A
                                                                               INFORMATION SECURITY
      Developer access to production           Entitlement Process           Audit Trail              Rights Granularity       Encryption
                  (Y/N)                                                        (Y/N)                                           Capability


y                                      Technology                        y            Application                          y



y                                      Technology                        y            Application                          y




No                                     Password authentication           N            Application




No                                     Password authentication (2 ids)   N            Application



Yes                                    Business Owner Initiated          Functional                                        N/A



Yes                                    Business Owner Initiated          Functional                                        N/A




No                                     Business Owner Initiated          Functional                                        N/A
                                                 HARDWARE                                                               STAFF / PROJECTS
Last entilement   Environment (Dev,   HW Lifecycle (on Hostname   Asset Tag   IP Address   # Dev Staff    # Prod       Contractors    Budget
    review         UAT, Prod, etc)    support. sunset,                         Hardcode                  Support          (Y/N)
                                        retirement)                              (Y/N)                     Staff

                                                                                                         2 (shared N
                                                                                                         with other
                                                                                                         *Trax
                                                                                                         products)
                                                                                                         2 (shared N
                                                                                                         with other
                                                                                                         *Trax
                                                                                                         products)




                                                                                                     2          2N



                                                                                                     2          2N




                                                                                                     2          2N
ECTS                                                                                            PROD SUPPORT / APP WELLNESS
       Industry / Tech Mandate    Release      Next      Releases YTD     # bug fixes   Blackout Periods         Availability / SLA     Monitoring
                                 Frequency   Scheduled                    per release      (e.g., RRSP,                                 Capability
                                              Release                                     Financial YE)

                                 N                                      0 N/A                             7*24                        Y (Sitescope)



                                 N                                      0 N/A                             7*24                        Y (Sitescope)




                                 Weekly                                                                   9 to 5



                                 Weekly                                                                   9 to 5




                                 Weekly                                                                   24 by 5
                                                                       UNISEN as a VENDOR                                             DISASTER RECOVERY
# outages YTD        Back Up        Data       Type of    # Licenses     Annual     Expiration       Non      Escrow   COB System Time to COB  Date of
                    Frequency     Retention   Agreement     (Cost)     Maintenance               Disclosure             Location              Last Test
                                                                          Cost                   Agreement
                                                                                                    (Y/N)
                11 Every month   Since                                                                                 N/A            72 hours     N/A
                                 inception


                11 Every month   Since                                                                                 N/A            72 hours     N/A
                                 inception



                                                                                                                       AGF Toronto - 4 hours       01/08/2004
                                                                                                                       Matheson                    (Unisen)
                                                                                                                       Unisen - TD                 Jul 05
                                                                                                                                                   (AGF)




                                                                                                                       ??             ??



                  Daily and      One week                                                                              Not Required   Not Required Not
                  Weelky                                                                                                                           Required


                  Daily and      One week                                                                              Not Required   Not Required Not
                  Weelky                                                                                                                           Required



                  Daily and      One week                                                                              Not Required   Not Required Not
                  Weelky                                                                                                                           Required
R RECOVERY                                               CONTROLS                                     WEB APPS                                                          TSA
             DR Plan    # seats     Source     Change      SDLC   Architecture Review         Ethical Hack       FTP Usage    Final                   Notes
                                    Control    Control                                                                       Owner


         Y             1 (shared    CVS       RFS                                       N/A                                  Citi
                       with other
                       *Trax)

         Y             1 (shared    CVS       RFS                                       N/A                                  Citi
                       with other
                       *Trax)


         Yes (from ??                                                                                                        AGF      Need to re-assign the 4 Unisen
         Bloomberg                                                                                                                    terminals to Citigroup.
         )




                       ??                                                                                                    AGF      There are 2 active accounts. Need to
                                                                                                                                      re-assign one account to Citigroup


         Not           Not          No        ECM                                                                            AGF      Hardware and software will go back to
         Required      Required               Approval                                                                                AGF. Unisen BPO is primary owner.
                                                                                                                                      Unisen BPO uses several Business
                                                                                                                                      Objects desktop clients.
         Not           Not          No        ECM                                                                            AGF      Hardware and software will go back to
         Required      Required               Approval                                                                                AGF. Unisen Finance is primary
                                                                                                                                      owner.


         Not           Not          No        ECM                                                                            AGF
         Required      Required               Approval
TSA
                       Process




      Request change from Account Manager
      from Bloomberg




      Request change from Account Manager
      from Bloomberg


      TSA item



      Migrate to SQLServer and DTS. The
      Busienss Objects client should be kept for
      the front-end.
                                                                                                                                                                GENERAL SYSTEM CHARACTERISTICS
        System           System                                                          System Description                                                          System Inception
                        Component                                                         (Include version)                                                               Date


Business Intelligence               Customer Loyalty                                                                                                                     N/A




Renex                               RENEX (the new name of the software is BlueZone from Seagull Software Inc.) is a Web-to-Host, state-of-the-art secure IBM
                                    host access solution that utilizes the convenience of a web browser to install, configure, update and maintain the end user's host
                                    emulation software. The main objective of this software is to provide client a secure and easy method to access to AS400
                                    Servers via the internet. This allow clients without a direct or leased lined connection to Unisen to still be able to managed or
                                    directly connect to their Unitrax Database by proxying all request and opening a Terminal Emulation session (5250) directly
                                    with the AS400 server.
TEM CHARACTERISTICS
         Prod System    Business Owner    Technology              Disposition           Hardware                       Operating System         Software
           Location                         Owner             (In-house / Vendor)


         Matheson      AGF Sale          EEA           In House                     Unix, WinTel, PCs Solaris, Win2K                      Oracle,
         DataCentre                                                                                                                       Informatica, BO
                                                                                                                                          client, SQLServer,
                                                                                                                                          Acorn

         Matheson      E-Business        Vendor                                     N/T Server        WIN2K                               Yes
                                                                       END USERS                                                                   INT
      Vendor Licences Required for   AGF BPO   Uni BPO       ITO            AGF    Number of Installations                              Comm
               Operation                                                                                                               Protocols


Yes                                                                X                                         11   http, SQLNet, ODBC




Yes                                            X         X                                                   1    Http
          INTERFACES                                                                                      VOLUMES
 External Inbound      External Outbound        Internal        Internal   # Clients            # Trans                 # System    Scalability
                                               Inbound         Outbound                                                Components


                                           X               X                       11 Unknown                       Unknown         N/A




Yes              Yes                       No              No                      35 Unknown                                       Yes
                                                                        INFORMATION SECURITY
      Developer access to production           Entitlement Process    Audit Trail              Rights Granularity   Encryption
                  (Y/N)                                                 (Y/N)                                       Capability


Yes                                    Business Owner Initiated      Functional                                     N/A




No                                     Access Control                N                                              Y
                                                 HARDWARE                                                            STAFF / PROJECTS
Last entilement   Environment (Dev,   HW Lifecycle (on Hostname   Asset Tag   IP Address   # Dev Staff    # Prod    Contractors    Budget
    review         UAT, Prod, etc)    support. sunset,                         Hardcode                  Support       (Y/N)
                                        retirement)                              (Y/N)                     Staff

                                                                                                     2         2N




                  Prod Only                          Renex 01                                        0         4N
ECTS                                                                                              PROD SUPPORT / APP WELLNESS
       Industry / Tech Mandate    Release       Next         Releases YTD   # bug fixes   Blackout Periods         Availability / SLA       Monitoring
                                 Frequency    Scheduled                     per release      (e.g., RRSP,                                   Capability
                                               Release                                      Financial YE)

                                 Weekly                                                                     9 to 5




       9 to 5                    None        None         None              None                            7 by 24                     N
                                                                           UNISEN as a VENDOR                                             DISASTER RECOVERY
       # outages YTD     Back Up       Data       Type of     # Licenses     Annual     Expiration       Non      Escrow   COB System Time to COB  Date of
                        Frequency    Retention   Agreement      (Cost)     Maintenance               Disclosure             Location              Last Test
                                                                              Cost                   Agreement
                                                                                                        (Y/N)
                       Daily and    One week                                                                               Not Required   Not Required Not
                       Weelky                                                                                                                          Required



None                   Not Known                             Not known
R RECOVERY                                              CONTROLS                               WEB APPS                                TSA
             DR Plan    # seats    Source     Change      SDLC   Architecture Review   Ethical Hack       FTP Usage    Final   Notes
                                   Control    Control                                                                 Owner


         Not           Not        No         ECM                                                                      AGF
         Required      Required              Approval



                                  Not        Not
                                  Required   Required
TSA
      Process
                                          GENERAL SYSTEM CHARACTERISTICS
System    System     System Description        System Inception
         Component    (Include version)             Date
TEM CHARACTERISTICS
         Prod System   Business Owner   Technology       Disposition       Hardware   Operating System   Software
           Location                       Owner      (In-house / Vendor)
                                                         END USERS                                         INT
Vendor Licences Required for   AGF BPO   Uni BPO   ITO        AGF    Number of Installations    Comm
         Operation                                                                             Protocols
         INTERFACES                                                                     VOLUMES
External Inbound      External Outbound    Internal    Internal   # Clients   # Trans              # System    Scalability
                                          Inbound     Outbound                                    Components
                                                         INFORMATION SECURITY
Developer access to production   Entitlement Process   Audit Trail              Rights Granularity   Encryption
            (Y/N)                                        (Y/N)                                       Capability
                                                 HARDWARE                                                           STAFF / PROJECTS
Last entilement   Environment (Dev,   HW Lifecycle (on Hostname   Asset Tag   IP Address   # Dev Staff    # Prod   Contractors    Budget
    review         UAT, Prod, etc)    support. sunset,                         Hardcode                  Support      (Y/N)
                                        retirement)                              (Y/N)                     Staff
ECTS                                                                                          PROD SUPPORT / APP WELLNESS
       Industry / Tech Mandate    Release      Next      Releases YTD   # bug fixes   Blackout Periods         Availability / SLA   Monitoring
                                 Frequency   Scheduled                  per release      (e.g., RRSP,                               Capability
                                              Release                                   Financial YE)
                                                                 UNISEN as a VENDOR                                             DISASTER RECOVERY
# outages YTD    Back Up      Data       Type of    # Licenses     Annual     Expiration       Non      Escrow   COB System Time to COB  Date of
                Frequency   Retention   Agreement     (Cost)     Maintenance               Disclosure             Location              Last Test
                                                                    Cost                   Agreement
                                                                                              (Y/N)
R RECOVERY                                           CONTROLS                               WEB APPS                                TSA
             DR Plan   # seats   Source    Change      SDLC   Architecture Review   Ethical Hack       FTP Usage    Final   Notes
                                 Control   Control                                                                 Owner
TSA
      Process
                                          GENERAL SYSTEM CHARACTERISTICS
System    System     System Description        System Inception
         Component    (Include version)             Date
TEM CHARACTERISTICS
         Prod System   Business Owner   Technology       Disposition       Hardware   Operating System   Software
           Location                       Owner      (In-house / Vendor)
                                                         END USERS                                         INT
Vendor Licences Required for   AGF BPO   Uni BPO   ITO        AGF    Number of Installations    Comm
         Operation                                                                             Protocols
         INTERFACES                                                                     VOLUMES
External Inbound      External Outbound    Internal    Internal   # Clients   # Trans              # System    Scalability
                                          Inbound     Outbound                                    Components
                                                         INFORMATION SECURITY
Developer access to production   Entitlement Process   Audit Trail              Rights Granularity   Encryption
            (Y/N)                                        (Y/N)                                       Capability
                                                 HARDWARE                                                           STAFF / PROJECTS
Last entilement   Environment (Dev,   HW Lifecycle (on Hostname   Asset Tag   IP Address   # Dev Staff    # Prod   Contractors    Budget
    review         UAT, Prod, etc)    support. sunset,                         Hardcode                  Support      (Y/N)
                                        retirement)                              (Y/N)                     Staff
ECTS                                                                                          PROD SUPPORT / APP WELLNESS
       Industry / Tech Mandate    Release      Next      Releases YTD   # bug fixes   Blackout Periods         Availability / SLA   Monitoring
                                 Frequency   Scheduled                  per release      (e.g., RRSP,                               Capability
                                              Release                                   Financial YE)
                                                                 UNISEN as a VENDOR                                             DISASTER RECOVERY
# outages YTD    Back Up      Data       Type of    # Licenses     Annual     Expiration       Non      Escrow   COB System Time to COB  Date of
                Frequency   Retention   Agreement     (Cost)     Maintenance               Disclosure             Location              Last Test
                                                                    Cost                   Agreement
                                                                                              (Y/N)
R RECOVERY                                           CONTROLS                               WEB APPS                                TSA
             DR Plan   # seats   Source    Change      SDLC   Architecture Review   Ethical Hack       FTP Usage    Final   Notes
                                 Control   Control                                                                 Owner
TSA
      Process
                                                                                     GENERAL SYSTEM CHARACTERISTICS                                                                                                                                      END USERS
 System               System Description                  System     Prod System     Business Technology       Disposition                 Hardware       Operating                  Software                   Vendor Licences      AGF BPO Uni BPO     ITO    AGF
  Name                 (Include version)                 Inception     Location       Owner     Owner      (In-house / Vendor)                             System                                                 Required for
                                                           Date                                                                                                                                                    Operation

Unitrax    Unitrax is a Transfer Agency system            7/1/1993 Mississauga,      BPO     ITO          In-house development:          BM iSeries      OS 400 V5      Database: DB2 and UDB/400 tables;     Those included with    No     Yes        Yes    No
           supporting the ITO and BPO business                     Ontario                                Developed in a Joint Venture   Server Platform R2 and V5 R3   On-line Screens: PowerHouse           the iSeries (ILE
           lines. In Unisen’s vision, this will be the             and various ITO                        with 2020 Funds and            (formerly       OS;            Quick, Cognos;                        CoBOL, DB2 (UDB),
           sole remaining system after their                       client sites                           Jewelstone.                    AS400).                        Batch: PowerHouse QTP (Cognos),       OS/400, etc.),
           development efforts end. Specifically it is                                                                                                                  ILE CoBOL (IBM);                      PowerHouse, Spool-o-
           a Investment unit holder fund trading and                                                                                                                    Reports: PowerHouse Quiz              matic, ASC SEQUEL
           settlement system.                                                                                                                                           (Cognos), ASC SEQUEL (Advanced
                                                                                                                                                                        Systems Concepts);
                                                                                                                                                                        PrintDirector:Spool-o-matic, Gumbo;




as of 9/9/2011
Unisen Confidential                                                                                                                  Unitrax                                                                                                                       P. 96 of 115
END USERS                                                                                   INTERFACES
                                                                                        GENERAL SYSTEM CHARACTERISTICS                                                                VOLUMES                                                         INFORMATION SECURITY
      System         Number of                Comm                  External Inbound          External Outbound Internal Inbound                    Internal       # Clients       # Trans # System Scalability          Developer      Entitlement      Audit    Rights    Encryption
       Name         Installations            Protocols                                                                                             Outbound                                Compone                        access to      Process          Trail Granularity Capability
                                                                                                                                                                                              nts                        production                       (Y/N)
                                                                                                                                                                                                                            (Y/N)
     Unitrax    Acceptance - 12       Leased lines with         Fund Serv XML and             Fundserv ESG Files       Terminal supplied        Confirms (to     160 clients      Varies       2000      Moderate -   Yes. View        Business. 90      Yes.        Network -       Yes - but
                Production - 13       customers, a few with     Terminal Supplied Deal        (electronic standards    order input, fund prices EOM), capstock   (7 Facilitiies   depending    screens   High         access for       day passwords     There is Application -      nobody uses;
                Development - 1       hardware encryption;      input. ESG files Files/Fund   group):-Confirms/        (terminal or file).                       Management       on client.   1000                   support          (iSeries based,   detailed    Functionality   hardware
                                      FundServ utilizes IPSec   Serv; Orders/ Account set     Contracts;Prices;Monthly                                           Clients)         Recent       reports                purposes.        alpha, with       logging                     encryption
                Note: Clients on      layer with support for    up; Custom clients            Recs;Daily Recs;                                                                    performan    2500                   Temporary        both numeric      available                   utilized on
                one partition share   messages that may be      extracts/loads. Some fund     Commisions and Capstock.                                                            ce tests     batch                  Update access    and apha          (journaling                 some leased
                the same program.     digitally signed.         prices sent via email. Use    Bank EFP,Sales                                                                      processed    modules                for emergency    required). 12     ), but not                  lines.
                Thus, while there     ConnectDirect loaded on   FundServ format for input.    summaries/crm;                                                                      over                                fixes. ASP and   User classes.     turned on.                  FundServ
                are multiple client   iSeries for Royal Trust                                 Statements and confirms                                                             250,000                             licenses         Securities and    ASP                         supports
                databases, there      client (RCBGS).                                         and Tax files.                                                                      financial                           changes the      Tables team       versions is                 Public Key
                are a limited                                                                                                                                                     transactio                          rules            manages,          dependant                   Crptography.
                number of program                                                                                                                                                 ns in one                           somewhat in      within            on client
                installations.                                                                                                                                                    client                              terms of         business or       settings
                                                                                                                                                                                  environme                           logging, etc.    clients.          within
                                                                                                                                                                                  nt for one                                           Entitlements      their
                                                                                                                                                                                  over-night                                           reviewed          environme
                                                                                                                                                                                  batch                                                monthly.          nt.
                                                                                                                                                                                  processin
                                                                                                                                                                                  g.




     as of 9/9/2011
     Unisen Confidential                                                                                                                       Unitrax                                                                                                                                 P. 97 of 115
ON SECURITY                                                         HARDWARE          GENERAL SYSTEM CHARACTERISTICSSTAFF / PROJECTS                                                             PROD SUPPORT / APP WELLNESS
               System         Last      Environment HW Lifecycle      Hostname   Asset Tag IP Address # Dev   # Prod Contractors Budget     Industry /    Release     Next      Releases        # bug     Blackout     Availability / Monitoring   # outages
                Name       entilement    (Dev, UAT,  (on support,                           Hardcode   Staff Support      (Y/N)               Tech       Frequenc   Scheduled     YTD         fixes per Periods (e.g.,     SLA        Capability      YTD
                             review       Prod, etc)    sunset,                               (Y/N)            Staff                         Mandate         y       Release                   release     RRSP,
                                                      retirement)                                                                                                                                       Financial YE)
              Unitrax    Monthly                                                                     75          10          Y     $6.6 m   Various      6x                                5 60                        24x6          Automated             0
                                                                                                     (includes   (includes                               annually                            included
                                                                                                     SQA)        SQA)                                                                        in each
                                                                                                                                                                                             release on
                                                                                                                                                                                             average

                                                                                                                                                                                            Defects
                                                                                                                                                                                            resulting
                                                                                                                                                                                            from
                                                                                                                                                                                            releases:
                                                                                                                                                                                            January -
                                                                                                                                                                                            23
                                                                                                                                                                                            March -
                                                                                                                                                                                            11
                                                                                                                                                                                            May - 26
                                                                                                                                                                                            June - 22
                                                                                                                                                                                            August - 7




              as of 9/9/2011
              Unisen Confidential                                                                                                Unitrax                                                                                                                       P. 98 of 115
S                                                                               GENERAL
                                                                  UNISEN as a VENDOR SYSTEM CHARACTERISTICS                                        DISASTER RECOVERY                                                 CONTROLS                           WEB APPS
     System      Back Up       Data       Type of        #          Annual       Expiration      Non     Escrow          COB System Location                Time to  Date of    DR Plan    # seats    Source     Change   SDLC     Architecture   Ethical Hack
      Name      Frequency    Retention   Agreement   Licenses    Maintenance                 Disclosure                                                        COB  Last Test                         Control    Control             Review
                                                      (Cost)         Cost                    Agreement
                                                                                                (Y/N)
    Unitrax    Varies by    Since        NA          Depends Depends on          3-5 years  Yes         Yes     Downtown Toronto at First Canadian         Depends    Sep-05    Depends              Aldon      Aldon   Generally Priortization   Investortrax
               client       inception                on client client contract.                                 Place: IBM iSeries Server Platform         on                   on                                      modified Meeting          Yes
                                                     contract. Eg., for ASP,                                    (formerly AS400). OS 400 V5 R2 and arrangem                     arrangem                                waterfall                 Advisortrax
                                                     Eg., for  number of fund                                   V5 R3 OS. All interfaces are replicated. ent with               ent with                                                          Yes
                                                     ASP,      accounts, for                                    Different levels of recovery based on      client               client
                                                     number of licensed, AUM.                                   client desires ($). Also, data files which
                                                     fund                                                       were collected during the day may not
                                                     accounts,                                                  be replicated to COB site, even for HA
                                                     for                                                        clients. Clients (ASP, FM, Lic) are
                                                     licensed,                                                  responsible for maintaining their lines -
                                                     AUM.                                                       this may not be tracked.




    as of 9/9/2011
    Unisen Confidential                                                                                                         Unitrax                                                                                                                   P. 99 of 115
   WEB APPS                         TSA                 GENERAL SYSTEM CHARACTERISTICS
 System    FTP           Final     Notes      Process
  Name    Usage         Owner


Unitrax    YES over   Citi       1. BPO
           leased                clients
           lines.                have
                                 access for
                                 access.
                                 2. All ITO
                                 clients
                                 have
                                 access.




as of 9/9/2011
Unisen Confidential                                                                      Unitrax   P. 100 of 115
                                                                                      GENERAL SYSTEM CHARACTERISTICS                                                                                                                                END USERS
        System Name                     System Description              System     Prod System   Business Technology               Disposition          Hardware       Operating         Software         Vendor Licences       AGF BPO Uni BPO     ITO
                                         (Include version)             Inception     Location     Owner     Owner              (In-house / Vendor)                      System                              Required for
                                                                         Date                                                                                                                                Operation

Email                         Lotus Domino 6.5.2 FP1 , 2 Physical           1998 Matheson & TD   Corporate   Production    Vendor Application. In-   2 IBM NetFiity   Windows      Domino R6.5.2 FP1     Domino Server CPU      yes    yes        yes
                              Boxes running 4 Domino Partions each,                                          Serivices -   House Support             8500's           2000 SP4                           License, Lotus Notes
                              NotesMail00, NotesMail01, NotesMail02,                                         Lotus Notes                                                                                    Client Licenses
                              NotesApp01, NotesMail00x,                                                      Team
                              NotesMail01x, NotesMail02x,
                              NotesApp01x.




Blackberry                    Blackberry Enterprise Server 4.0.1.21         2001 Matheson & TD   Corporate   Production    Vendor Application. In-   3 Dell 2650's    Windows      BES 4.0.1.21,        Domino Server CPU       yes    yes        yes
                              (SP1, HF3). 3 Blackberry Enteeprise                                            Serivices -   House Support                              2003         Domino 6.5.2 FP1,    License, Blackberry
                              Servers                                                                        Lotus Notes                                                           Windows 2003         Enterprise Server
                                                                                                             Team                                                                                       license




Email content filtering and   MimeSweeper for SMTP 5.1, 2 Servers           2001 Matheson & TD   Corporate   Production    Vendor Application. In-   2 Dell 2650's    Windows 2003 MailSweeper SMTP 5.1 Mailsweper for SMTP     yes    yes        yes
virus scanning                                                                                               Serivices -   House Support                                                                per user license
                                                                                                             Lotus Notes
                                                                                                             Team




as of 9/9/2011
Unisen Confidential                                                                                                            Shared Apps                                                                                                              P. 101 of 115
                  END USERS                                                  INTERFACES
                                                                          GENERAL SYSTEM CHARACTERISTICS                          VOLUMES                                                 INFORMATION SECURITY
        System Name       AGF        Number of           Comm       External    External  Internal  Internal    # Clients     # Trans  # System Scalability      Developer   Entitlement     Audit     Rights      Encryption        Last
                                    Installations       Protocols   Inbound Outbound     Inbound   Outbound                           Component                   access to     Process      Trail  Granularity    Capability     entilement
                                                                                                                                           s                     production                  (Y/N)                                  review
                                                                                                                                                                    (Y/N)
Email                         yes             1500   TCP/IP, HTTP   Desjardins Desjardins                             1500                       Yes, but not   No          All new        Y       Lotus Notes Internal
                                                                    problem problem log                                                          without                    employees are          Team has       Notes to
                                                                    log DB     DB                                                                additional                 assigned a             admin rights Notes
                                                                                                                                                 h/w                        Lotus Notes            to the servers encryption
                                                                                                                                                 upgrades                   account via a          at a files
                                                                                                                                                                            New Hire IS            system and
                                                                                                                                                                            Service                appliation
                                                                                                                                                                            Request                level. Users
                                                                                                                                                                                                   only have
                                                                                                                                                                                                   access to
                                                                                                                                                                                                   Lotus Notes
                                                                                                                                                                                                   databases as
                                                                                                                                                                                                   granted by
                                                                                                                                                                                                   ACL's




                                                                                            CRM, BES CRM, BES
Blackberry                    yes              200   TCP/IP,HTTP,                           Notes    Notes             200                       Yes            no          Senior           Y      Lotus Notes      Standard
                                                     HTTPS                                                                                                                  management              Team has         BES
                                                                                                                                                                            approval                admin rights     encyption
                                                                                                                                                                            required to             to the servers   technology
                                                                                                                                                                            purchase a              at a files
                                                                                                                                                                            Blackberry and          system and
                                                                                                                                                                            to get                  appliation
                                                                                                                                                                            integrated with         level. Users
                                                                                                                                                                            the corporate e-        only have
                                                                                                                                                                            mail system.            access to
                                                                                                                                                                            Requested via           Lotus Notes
                                                                                                                                                                            an IS Service           databases as
                                                                                                                                                                            Request.                granted by
                                                                                                                                                                                                    ACL's

Email content filtering and   yes             1500   TCP/IP, HTTP                                                     1500                       Yes            no          All employees Y         Lotus Notes
virus scanning                                                                                                                                                              who have mail           Team has
                                                                                                                                                                            stopped by the          admin rights
                                                                                                                                                                            spam filters            to the servers
                                                                                                                                                                            are generated           at a files
                                                                                                                                                                            a PMM                   system and
                                                                                                                                                                            account                 appliation
                                                                                                                                                                                                    level. Users
                                                                                                                                                                                                    have access
                                                                                                                                                                                                    PMM area as
                                                                                                                                                                                                    granted by
                                                                                                                                                                                                    Administrator
                                                                                                                                                                                                    s




as of 9/9/2011
Unisen Confidential                                                                                             Shared Apps                                                                                                                P. 102 of 115
                                                            HARDWARE           GENERAL SYSTEM CHARACTERISTICSSTAFF / PROJECTS                                                                     PROD SUPPORT / APP WELLNESS
        System Name           Environment    HW Lifecycle     Hostname   Asset Tag   IP Address  # Dev   # Prod Contractors Budget            Industry /    Release   Next      Releases      # bug fixes   Blackout    Availability / Monitoring # outages
                               (Dev, UAT,    (on support,                             Hardcode   Staff  Support    (Y/N)                        Tech       Frequenc Scheduled     YTD        per release Periods (e.g.,    SLA         Capability    YTD
                                Prod, etc)      sunset,                                 (Y/N)             Staff                                Mandate         y     Release                                 RRSP,
                                              retirement)                                                                                                                                                 Financial YE)
Email                                                                                                 0          4N                 $80,000                Vendor                          1 Varies                           99.998 auto paging,         0
                                                                                                                                                           releases                                                                   SNMP, native
                                                                                                                                                           quarterly                                                                  application
                                                                                                                                                           updates,
                                                                                                                                                           We apply
                                                                                                                                                           as
                                                                                                                                                           required.
                                                                                                                                                           Major
                                                                                                                                                           releases
                                                                                                                                                           applied 12-
                                                                                                                                                           24 months




Blackberry                                                                                                        Y
                                                                                                      0 Included Within email        $2,000                Vendor                          1 Varies                          99.998 auto paging,         1
                                                                                                                                                           releases                                                                 SNMP, native
                                                                                                                                                           updates                                                                  application
                                                                                                                                                           and fixes
                                                                                                                                                           as
                                                                                                                                                           required.
                                                                                                                                                           Major
                                                                                                                                                           releases
                                                                                                                                                           applied
                                                                                                                                                           annually.




Email content filtering and                                                                                       N
                                                                                                      0 Included Within email       $15,000                Vendor                          1 Varies                          99.998 auto paging,         0
virus scanning                                                                                                                                             releases                                                                 SNMP, native
                                                                                                                                                           updates                                                                  application
                                                                                                                                                           and fixes
                                                                                                                                                           as
                                                                                                                                                           required




as of 9/9/2011
Unisen Confidential                                                                                                   Shared Apps                                                                                                                   P. 103 of 115
APP WELLNESS                                                                                          UNISEN as a CHARACTERISTICS
                                                                                                  GENERAL SYSTEM VENDOR                                                              DISASTER RECOVERY                                                CONTROLS
                       System Name             Back Up     Data Retention      Type of    # Licenses    Annual     Expiration     Non       Escrow             COB System Location          Time to  Date of    DR Plan      # seats   Source     Change   SDLC
                                              Frequency                       Agreement     (Cost)    Maintenance             Disclosure                                                     COB    Last Test                          Control    Control
                                                                                                         Cost                 Agreement
                                                                                                                                 (Y/N)
               Email                         Nightly      30 days for daily                                                                              TD and Matheson                   immediate     2005 yes               1500             ITIL
                                                          backup, 30 days                                                                                                                                                                        Change
                                                          for weekly                                                                                                                                                                             control
                                                          backups and 2                                                                                                                                                                          process in
                                                          years for monthly                                                                                                                                                                      place
                                                          backup.




               Blackberry                                 30 days for daily                                                                              TD and Matheson                   1 hour        2005 yes                150             ITIL
                                                          backup, 30 days                                                                                                                                     Note: Unisen                       Change
                                                          for weekly                                                                                                                                          does not                           control
                                                          backups and 2                                                                                                                                       have DR                            process in
                                                          years for monthly                                                                                                                                   capability                         place
                                                          backup.




               Email content filtering and                30 days for daily                                                                              TD and Matheson                   immediate     2005 yes               1500             ITIL
               virus scanning                             backup, 30 days                                                                                                                                                                        Change
                                                          for weekly                                                                                                                                                                             control
                                                          backups and 2                                                                                                                                                                          process in
                                                          years for monthly                                                                                                                                                                      place
                                                          backup.




               as of 9/9/2011
               Unisen Confidential                                                                                                         Shared Apps                                                                                                            P. 104 of 115
             CONTROLS                              WEB APPS                     TSA
                                                                              GENERAL SYSTEM CHARACTERISTICS
        System Name           Architecture   Ethical Hack  FTP      Final      Notes    Process
                                Review                    Usage    Owner


Email                         Conducted                 none      AGF       1.
                              annually                                      Rebranding
                                                                            issues
                                                                            2. Security
                                                                            issues
                                                                            3. Blackberry
                                                                            Access
                                                                            4. Also have
                                                                            some AGF
                                                                            employeeson
                                                                            Unisen site
                                                                            5. ~400
                                                                            people will
                                                                            remain in
                                                                            AGF
                                                                            6. Lotus
                                                                            notes
                                                                            databases


Blackberry                    Conducted                 none      AGF       2 servers will
                              annually                                      go back to
                                                                            AGF; 1
                                                                            server will
                                                                            stay at
                                                                            Unisen




Email content filtering and   Conducted                 none      AGF       See above
virus scanning                annually




as of 9/9/2011
Unisen Confidential                                                                                            Shared Apps   P. 105 of 115
                                                                                     GENERAL SYSTEM CHARACTERISTICS                                                                                                                                END USERS
      System Name                  System Description                  System     Prod System   Business Technology               Disposition          Hardware        Operating        Software          Vendor Licences    AGF BPO Uni BPO       ITO
                                    (Include version)                 Inception     Location     Owner     Owner              (In-house / Vendor)                       System                              Required for
                                                                        Date                                                                                                                                 Operation

Domino WebMail and Web Lotus Domino 6.5.2 FP1, 2 Servers                   2001 Matheson & TD   Corporate   Production    Vendor Application. In-   2 Dell 2650's     Windows      Domino R6.5.2 FP1   Domino Server CPU     yes    yes        yes
Application                                                                                                 Serivices -   House Support                               2000 SP4                         License, SSL Global
                                                                                                            Lotus Notes                                                                                Certificates
                                                                                                            Team




Financials               Oracle Financials




                         Browser based inquiry for advisors to                                                                                      IBM iSeries     OS 400 V5
                         view his/her book with investors' account,                                                                                 Server Platform R2
                         transaction details and commission                                                                                         (formerly
                         information                                                                                                                AS400).
AdvisorTrax              1 code base with Advisor                          2000 Mississauga     BPO         ITO           In-house                                                                      WSAD
                                                                                                                                                                                   WebSphere, IBM Http Server                n      n          y
                                                                                                                                                    IBM iSeries       OS 400 V5
                                                                                                                                                    Server Platform   R2
                         Browser based inquiry for investors to                                                                                     (formerly
InvestorTrax             view account and transaction details              1999 Mississauga     BPO         ITO           In-house                  AS400).                        WebSphere, IBM Http Server;
                                                                                                                                                                                                        WSAD                 n      n          y
                                                                                                                                                    IBM iSeries       OS 400 V5
                         A web based graphical user interface for                                                                                   Server Platform   R2
                         researching sales records and producing                                                                                    (formerly
                         sales reports for Unitrax data                                                                                             AS400).
                         Used by wholesalers - sales guys at fund
MarketTrax               company.                                          1997 Mississauga     BPO         ITO           In-house                                                                      WSAD
                                                                                                                                                                                   WebSphere, IBM Http Server                n      y          y
                                                                                                                                                    IBM iSeries     OS 400 V5
                                                                                                                                                    Server Platform R2
                         A web based graphical user interface for                                                                                   (formerly
                         accessing account and transaction                                                                                          AS400).
                         details for Unitrax data
Navigator                Customer service rep at fund company              1999 Mississauga     BPO         ITO           In-house                                                                      WSAD
                                                                                                                                                                                   WebSphere, IBM Http Server                n      y          y




as of 9/9/2011
Unisen Confidential                                                                                                           Shared Apps                                                                                                              P. 106 of 115
                END USERS                                                  INTERFACES
                                                                        GENERAL SYSTEM CHARACTERISTICS                                 VOLUMES                                                INFORMATION SECURITY
      System Name       AGF    Number of              Comm        External    External  Internal  Internal          # Clients      # Trans  # System Scalability    Developer     Entitlement    Audit      Rights    Encryption       Last
                              Installations          Protocols    Inbound Outbound     Inbound   Outbound                                  Component                 access to     Process       Trail   Granularity  Capability    entilement
                                                                                                                                                s                   production                   (Y/N)                                review
                                                                                                                                                                       (Y/N)
Domino WebMail and Web yes               100      TCP/IP, HTTP,   Job                Notes        Notes                    100                           Yes       no          Management Y            Lotus Notes SSL
Application                                       HTTPS           Scout(Res                                                                                                    approval                Team has      Certificates
                                                                  ume                                                                                                          required to             local admin
                                                                  processin                                                                                                    grant access            rights to the
                                                                  g)                                                                                                           thorugh a               servers at a
                                                                                                                                                                               browser to              files system
                                                                                                                                                                               employee mail           level. Users
                                                                                                                                                                               files.                  only have
                                                                                                                                                                               Requested via           access to
                                                                                                                                                                               an IS Service           Lotus Notes
                                                                                                                                                                               Request                 databases as
                                                                                                                                                                                                       granted by
                                                                                                                                                                                                       ACL's


Financials




                                                                                     Stored       Stored                          1500
                                                                                     procedures procedures                        access    28 stored
AdvisorTrax            n                      1   HTTP via SSL    n           n      from Unitrax call to Unitrax               2 per month procedures   Y         Y           Business      Y          application   Y

                                                                                     Stored       Stored                       20000
                                                                                     procedures procedures                     access    22 stored
InvestorTrax           n                      2   HTTP via SSL    n           n      from Unitrax call to Unitrax           12 per month procedures      Y         Y           Business      Y          application   Y



                                                                                     SQL                                       600
                                                                                     Statement Sql statement                   access
MarketTrax             n                      1   SOAP via SSL    n           n      from Unitrax call to Untrax            21 per month 8 tables        Y         Y           Technology    Y          application   Y

                                                                                                  Stored                                 17 stored
                                                                                                  procedures                             procedures
                                                                                     Stored       call and sql                 600       and 104
                                                                                     procedures statement call                 access    unitrax
Navigator              n                      1   SOAP via SSL    n           n      from Unitrax to Unitrax                10 per month Tables          Y         Y           Technology    Y          application   Y




as of 9/9/2011
Unisen Confidential                                                                                                 Shared Apps                                                                                                              P. 107 of 115
                                                       HARDWARE           GENERAL SYSTEM CHARACTERISTICSSTAFF / PROJECTS                                                                    PROD SUPPORT / APP WELLNESS
      System Name        Environment    HW Lifecycle     Hostname   Asset Tag   IP Address  # Dev   # Prod Contractors Budget           Industry /    Release   Next      Releases      # bug fixes   Blackout    Availability / Monitoring # outages
                          (Dev, UAT,    (on support,                             Hardcode   Staff  Support    (Y/N)                       Tech       Frequenc Scheduled     YTD        per release Periods (e.g.,    SLA         Capability    YTD
                           Prod, etc)      sunset,                                 (Y/N)             Staff                               Mandate         y     Release                                 RRSP,
                                         retirement)                                                                                                                                                Financial YE)
Domino WebMail and Web                                                                                       N
                                                                                                 0 Included Within email       $3,000                Vendor                          1 Varies                               100 auto paging,        0
Application                                                                                                                                          releases                                                                   SNMP, native
                                                                                                                                                     quarterly                                                                  application
                                                                                                                                                     updates,
                                                                                                                                                     We apply
                                                                                                                                                     as
                                                                                                                                                     required.
                                                                                                                                                     Major
                                                                                                                                                     releases
                                                                                                                                                     applied 12-
                                                                                                                                                     24 months




Financials




                                                                                                   2 (shared
                                                                                                   with other
                                                                                                   *Trax
AdvisorTrax                                                                                        products) n                                       n                               0 n/a                       7*24         Y (sitescope)       11
                                                                                                   2 (shared
                                                                                                   with other
                                                                                                   *Trax
InvestorTrax                                                                                       products) n                                       n                               0 n/a                       7*24         Y (sitescope)       11


                                                                                                   2 (shared
                                                                                                   with other
                                                                                                   *Trax
MarketTrax                                                                                         products) n                                       n                               0 n/a                       7*24         Y (sitescope)       11


                                                                                                   2 (shared
                                                                                                   with other
                                                                                                   *Trax
Navigator                                                                                          products) n                                       n                               0 n/a                       7*24         Y (sitescope)       11




as of 9/9/2011
Unisen Confidential                                                                                              Shared Apps                                                                                                                  P. 108 of 115
APP WELLNESS                                                                                     UNISEN as a CHARACTERISTICS
                                                                                             GENERAL SYSTEM VENDOR                                                              DISASTER RECOVERY                                                        CONTROLS
                     System Name          Back Up     Data Retention      Type of    # Licenses    Annual     Expiration     Non       Escrow             COB System Location          Time to  Date of            DR Plan    # seats     Source     Change   SDLC
                                         Frequency                       Agreement     (Cost)    Maintenance             Disclosure                                                     COB    Last Test                                  Control    Control
                                                                                                    Cost                 Agreement
                                                                                                                            (Y/N)
               Domino WebMail and Web                30 days for daily                                                                              TD and Matheson                   immediate           2005 yes                  100             ITIL
               Application                           backup, 30 days                                                                                                                  the                                                           Change
                                                     for weekly                                                                                                                       failover is                                                   control
                                                     backups and 2                                                                                                                    manually                                                      process in
                                                     years for monthly                                                                                                                controlled                                                    place
                                                     backup.                                                                                                                          by the
                                                                                                                                                                                      employee
                                                                                                                                                                                      they just
                                                                                                                                                                                      select the
                                                                                                                                                                                      secondary
                                                                                                                                                                                      url




               Financials




                                                                                                                                                                                                                             1 (shared
                                                                                                                                                                                                                             with other
               AdvisorTrax              Every month since inception                                                                                 n/a                               72 hours      n/a        Y             *Trax)       CVS       RFS

                                                                                                                                                                                                                             1 (shared
                                                                                                                                                                                                                             with other
               InvestorTrax             Every month since inception                                                                                 n/a                               72 hours      n/a        Y             *Trax)       CVS       RFS



                                                                                                                                                                                                                             1 (shared
                                                                                                                                                                                                                             with other
               MarketTrax               Every month since inception                                                                                 n/a                               72 hours      n/a        Y             *Trax)       CVS       RFS



                                                                                                                                                                                                                             1 (shared
                                                                                                                                                                                                                             with other
               Navigator                Every month since inception                                                                                 n/a                               72 hours      n/a        Y             *Trax)       CVS       RFS




               as of 9/9/2011
               Unisen Confidential                                                                                                    Shared Apps                                                                                                                    P. 109 of 115
           CONTROLS                         WEB APPS                      TSA
                                                                        GENERAL SYSTEM CHARACTERISTICS
      System Name      Architecture   Ethical Hack  FTP       Final      Notes    Process
                         Review                    Usage     Owner


Domino WebMail and Web Conducted      Yes        none      AGF        See above
Application            annually




Financials                                                 AGF        1. Expense
                                                                      Approvals
                                                                      2. Purchase
                                                                      Approvals
                                                                      3.
                                                                      Procurement
                                                                      4. Financials
                                                           Citi



AdvisorTrax                           n/a
                                                           Citi


InvestorTrax                          n/a
                                                           Citi




MarketTrax                            n/a
                                                           Citi




Navigator                             n/a




as of 9/9/2011
Unisen Confidential                                                                                      Shared Apps   P. 110 of 115
                                                                                 GENERAL SYSTEM CHARACTERISTICS                                                                                                                                END USERS
      System Name                 System Description             System       Prod System   Business Technology           Disposition               Hardware     Operating             Software         Vendor Licences      AGF BPO Uni BPO   ITO
                                   (Include version)            Inception       Location     Owner     Owner          (In-house / Vendor)                         System                                  Required for
                                                                  Date                                                                                                                                     Operation

                                                                            Multiple           AGF Fund
                                                                            terminals at AGF   Management
                                                                            (Toronto),         Unisen Fund
                                                                            Unisen             Accounting
                                                                            (Mississauga),     AGF Private
                                                                            AGF PIM            Investment         Vendor (with controlled
Bloomberg               Bloomberg interactive terminal          n/a         (Montreal)         Management EEA     customization from vendor)   PCs             Win2k          Bloomberg software     Yes                            x



                                                                                               AGF Fund
                                                                                               Management
                        Bloomberg data license (batch mode on               Accessed using     Unisen Fund
Bloomberg               Mpower terminal)                        n/a         FTP                Accounting  EEA    Vendor                       No              No             No                     Yes                            x




Business Intelligence   TABI                                    n/a                        Unisen BPO
                                                                            Matheson DataCentre           EEA     In-house                                     Solaris, Win2K WEBI, Oracle, Informatica, BO client
                                                                                                                                               Unix, WinTel, PCs                                     Yes                     x




Business Intelligence   Acorn BO Report and DTS support                                     Unisen FinanceEEA
                                                                      May-05 Matheson DataCentre                  In-house                                     Solaris, Win2K Oracle, Informatica, BO Yes SQLServer, Acorn
                                                                                                                                               Unix, WinTel, PCs                                      client,

Business Intelligence   SSSP                                    n/a                        Agf
                                                                            Matheson DataCentre Sale      EEA     In-house                     Unix            Solaris        Oracle                 No

Business Intelligence   Customer Loyalty                        n/a                        Agf
                                                                            Matheson DataCentre Sale      EEA     In-house                                     Solaris, Win2K Oracle, Informatica, BO Yes WEBI
                                                                                                                                               Unix, WinTel, PCs                                      client,




as of 9/9/2011
Unisen Confidential                                                                                                   Shared Apps                                                                                                                  P. 111 of 115
                END USERS                                                     INTERFACES
                                                                           GENERAL SYSTEM CHARACTERISTICS                         VOLUMES                                                 INFORMATION SECURITY
      System Name       AGF    Number of               Comm          External    External  Internal  Internal   # Clients     # Trans  # System Scalability   Developer     Entitlement      Audit    Rights    Encryption       Last
                              Installations           Protocols      Inbound Outbound     Inbound   Outbound                          Component                access to     Process         Trail  Granularity Capability    entilement
                                                                                                                                           s                  production                     (Y/N)                              review
                                                                                                                                                                 (Y/N)




                                                                                                                                                                           Password
Bloomberg               x                +30      TCP/IP (over a dedicated link) no
                                                                    yes                 no         no                  +30 unknown      unknown   n/a         No           authentication N            Application




                                                                                                                                                                           Password
                                                                                                                                                                           authentication
Bloomberg               x                     3   FTP                yes        no      no         no                       2 unknown   unknown   n/a         No           (2 ids)        N            Application




Business Intelligence                     39      http, SQLNet, ODBC                    x          x                    39 unknown      unknown   n/a         Yes                                      e-mail
                                                                                                                                                                           business owner initiated by functional            n/a




Business Intelligence                         3   http, SQLNet, ODBC                    x          x                        3 unknown   unknown   n/a         Yes                                      e-mail
                                                                                                                                                                           business owner initiated by functional            n/a

Business Intelligence   x                 48      https, SQLNET                 x       x          x                    48 unknown      unknown   n/a         No                                       e-mail
                                                                                                                                                                           business owner initiated by functional            n/a

Business Intelligence   x                 11      http, SQLNet, ODBC                    x          x                    11 unknown      unknown   n/a         Yes                                      e-mail
                                                                                                                                                                           business owner initiated by functional            n/a




as of 9/9/2011
Unisen Confidential                                                                                             Shared Apps                                                                                                            P. 112 of 115
                                                      HARDWARE           GENERAL SYSTEM CHARACTERISTICSSTAFF / PROJECTS                                                         PROD SUPPORT / APP WELLNESS
      System Name       Environment    HW Lifecycle     Hostname   Asset Tag   IP Address  # Dev   # Prod Contractors Budget   Industry /    Release   Next      Releases   # bug fixes   Blackout     Availability /   Monitoring   # outages
                         (Dev, UAT,    (on support,                             Hardcode   Staff  Support    (Y/N)               Tech       Frequenc Scheduled     YTD      per release Periods (e.g.,    SLA           Capability      YTD
                          Prod, etc)      sunset,                                 (Y/N)             Staff                       Mandate         y     Release                              RRSP,
                                        retirement)                                                                                                                                     Financial YE)




Bloomberg




Bloomberg




Business Intelligence                                                                           2       2 n                                 weekly                                                      9 to 5




Business Intelligence                                                                           2       2 n                                 weekly                                                      9 to 5

Business Intelligence                                                                           2       2 n                                 Monthly                                                     24*5

Business Intelligence                                                                           2       2 n                                 weekly                                                      9 to 5




as of 9/9/2011
Unisen Confidential                                                                                           Shared Apps                                                                                                              P. 113 of 115
APP WELLNESS                                                                                  UNISEN as a CHARACTERISTICS
                                                                                          GENERAL SYSTEM VENDOR                                                                DISASTER RECOVERY                                                    CONTROLS
                     System Name         Back Up     Data Retention    Type of    # Licenses    Annual     Expiration     Non       Escrow               COB System Location          Time to  Date of       DR Plan       # seats   Source     Change   SDLC
                                        Frequency                     Agreement     (Cost)    Maintenance             Disclosure                                                       COB    Last Test                              Control    Control
                                                                                                 Cost                 Agreement
                                                                                                                         (Y/N)



                                                                                                                                                                                                01/08/200
                                                                                                                                                                                                4 (Unisen)
                                                                                                                                                 AGF Toronto - Matheson                         Jul 05     Yes from
               Bloomberg                                                                                                                         Unisen - TD                         4 hours    (AGF)      Bloomberg      ??




               Bloomberg                                                                                                                         ??                                  ??                                   ??




                                                                                                                                                                                     not        not                       not
               Business Intelligence   daily & weeklyone week                                                                                    not required                        required   required   not required   required   No        ECM approval




                                                                                                                                                                                     not        not                       not
               Business Intelligence   daily & weeklyone week                                                                                    not required                        required   required   not required   required   No        ECM approval
                                                                                                                                                                                     not        not                       not
               Business Intelligence   daily & weeklyone week                                                                                    not required                        required   required   not required   required   No        ECM approval
                                                                                                                                                                                     not        not                       not
               Business Intelligence   daily & weeklyone week                                                                                    not required                        required   required   not required   required   No        ECM approval




               as of 9/9/2011
               Unisen Confidential                                                                                                 Shared Apps                                                                                                                  P. 114 of 115
           CONTROLS                          WEB APPS                     TSA
                                                                        GENERAL SYSTEM CHARACTERISTICS
      System Name       Architecture   Ethical Hack  FTP      Final      Notes    Process
                          Review                    Usage    Owner


                                                            AGF       Need to re-    Request
                                                                      assign the 4   change from
                                                                      Unisen         Account
                                                                      terminals to   Manager
                                                                      Citigroup.     from
                                                                                     Bloomberg
Bloomberg
                                                            AGF       There are 2    Request
                                                                      active         change from
                                                                      accounts.      Account
                                                                      Need to re-    Manager
                                                                      assign one     from
                                                                      account to     Bloomberg
Bloomberg                                                             Citigroup
                                                            AGF       Hardware       TSA item
                                                                      and software
                                                                      will go back
                                                                      to AGF.
                                                                      Unisen BPO
                                                                      is primary
                                                                      owner.
                                                                      Unisen BPO
                                                                      uses several
                                                                      Business
                                                                      Objects
                                                                      desktop
Business Intelligence                                                 clients.
                                                            AGF       Hardware       Migrate to
                                                                      and software   SQLServer
                                                                      will go back   and DTS.
                                                                      to AGF.        The
                                                                      Unisen         Busienss
                                                                      Finance is     Objects
                                                                      primary        client should
                                                                      owner.         be kept for
                                                                                     the front-
Business Intelligence                                                                end.
                                                            AGF
Business Intelligence
                                                            AGF
Business Intelligence




as of 9/9/2011
Unisen Confidential                                                                                      Shared Apps   P. 115 of 115

				
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