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What's New for Investors?

January 2012

Citi's investment services solutions combine our specialized industry expertise and capabilities with the power of Citi's global network to help you meet your performance objectives across asset classes, strategies and geographies.

We are excited to share with you recent highlights in our investor-servicing business solutions, including innovations, client partnerships, industry recognition and market trends.

Market Trends

Citi Webinar Replay: FATCA/Changes to the U.S. Withholding Tax System

Citi recently hosted an informational webinar on the implications of the Foreign Accounts Tax Compliance Act (FATCA). Nicole Tanguy, Director and Tax Counsel at Citi, provided an in-depth review of the complex provision, highlighting the difference from existing legislation.

Replay Webinar (please note that no recording key is required to access this replay)
View Presentation

Private Equity Regulatory Arbitrage Update

Almost three years after the financial crisis, the dust has settled and the industry is grappling with the realities of regulatory reform. Some interesting changes are impacting the private equity space, differing substantially by domicile.

Use of Social Media by Investment Advisers — Citi Proprietary Regulatory Research

The seven page analysis explores social media use by investment advisers and broker-dealers. Citi's Bruce Treff, Martin Fox and Jack Huntington – the collective authors – review the issues and outline compliance policies and practices firms should adopt to prevent securities law violations arising from social media applications.

Call of the Frontier: The Search for a New Generation of Emerging Markets

Citi's Emerging Market Strategists Andrew Howell and Maria Gratsova focus on the Frontier Markets: the next generation of emerging markets across the globe. This report identifies the "Frontier-15" composed of countries that Citi believes will grow more rapidly than the rest of the world in coming decades. In addition, the report provides an in-depth look at the economic outlook for two of these countries, which despite significant challenges in the near term, rank among the fastest for long-term growth.

Leading Solutions

OpenWealth® Meets UMA Sponsors' Operational Challenges

The operational concerns of Unified Managed Account (UMA) sponsors – which are detailed in Cerulli Associates Managed Accounts report – are fully addressed by Citi's comprehensive wealth management platform, OpenWealth®.

Looking to Raise Money and Invest in Brazil?

One of the most prominent options for capitalizing on investment opportunities in Brazil is currently through a Brazilian Participation Fund or "FIP". Read about the rules of a FIP, qualifying FIP income, capital gains exempt from Brazilian income taxes and much more. .

Citi Investor Services — A Strong Focus on Improving Client Satisfaction

In 2009, Citi's Investor Services placed a significant focus on changing its organizational structure with the goal of improving the overall client experience across the securities product suite. An article that appeared in a recent edition of Money Management Executive explains how Citi is executing on that vision. .

Client Spotlight

Aviva Investors Appoints Citi to Provide Collateral Management and OTC Derivatives Services

Citi has been appointed by Aviva Investors Asia Pte Ltd to support its OTC derivatives middle-office requirements including collateral management in Asia. This mandate extends the range of transaction services that Citi provides Aviva Investors, which currently include custody, securities finance, middle office and fund administration.

Citi Awarded Mandate to Provide Securities Lending and Custody Services to the State of Washington

Citi has been awarded a mandate to provide securities lending services through its OpenLendSM platform as well as custody services for the State of Washington Office of the State Treasurer (OST). The OST manages the investments on behalf of the State and local government entities within the State of Washington.

Industry Recognition

Citi Named Securities Lending Equity Trader of the Year

Citi has been named Securities Lending Equity Trader of the Year by Fundamentals. Recipients of the Fundamentals awards are nominated and selected by the magazine's registered readers, contributing editors and editorial staff of the publication, fund managers, fund trustees and industry experts.

Citi Recognized for Industry Leadership and Innovation in Investment Services

Citi has been recognized for industry leadership and innovation in investment services with eight awards from several prestigious publications. The awards recognize Citi's extensive experience to address the specific challenges of global investors and its ability to tap the intellectual capital of Citi's local network to help clients deepen their insight, extend their reach and expand their business.

Did You Know?

Massimo Zannella
Private Equity Services

Citi's Massimo Zannella to speak at The Inaugural Real Estate Emerging Managers Summit.

Citi's Massimo Zannella to speak at The Inaugural Real Estate Emerging Managers Summit.

David Martocci
Global Sales Manager
Securities Finance

Citi Guest Speakers Featured at the 18th Beneficial Owners International Summit on Securities Lending & Repo

Arizona Biltmore Resort & Spa, Phoenix, AZ
Jan. 29–31

Mr. David Martocci, Global Sales Manager/Third-Party Product Manager, Securities Finance, is slated to speak on the "Securities Lending Agent Executive Perspective Panel" at 12:15 p.m. on January 30, where the panel will discuss their approach to key areas within securities lending. Including but not limited to operational issues, benchmarking, risk management, relationship management, product development, etc.

Mr. Martocci is also scheduled to moderate the "Routes to Market: Beneficial Owners Compare and Contrast" panel at 2:45 p.m. on January 30, where participants compare and contrast their different routes to market, and how their strategies may align with the approaches of audience members.

Patrick Avitabile
Global Head of
Equity Trading

Mr. Patrick Avitabile, Global Head of Equity Trading, Securities Finance, is slated to moderate the "Securities Lending in Emerging Markets" panel on January 30 at 2 p.m., where they will examine the respective economic outlooks, political, tax, legal and regulatory considerations and potential risks/returns associated with emerging markets lending from both a demand and supply side perspective.

Neeraj Sahai
Global Head
of Securities and Fund Services

Citi Guest Speakers Featured at NICSA Annual Conference and Expo

Doral Golf Resort & Spa, Miami, FL
Feb. 12–16

Keynote Speaker: Citi's Neeraj Sahai
Investment Roundtable Panelist: Citi Economist, Bill Lee

Mr. Neeraj Sahai will provide keynote remarks on Monday, February 13, at 2:15 p.m. in the Grand Ballroom. "Operating Models for an Uncertain World" will explore the uncertainty that hangs over the asset management industry, leading some asset managers to revisit their operating models. Mr. Neeraj will address the symbiotic relationship between the strategy and the operating model.

Mr. Bill Lee will be guest panelist on Tuesday, February 15, at 8:45 a.m. in the Grand Ballroom. The interactive panel of seasoned investment and product experts will discuss their thoughts on how the credit crisis has influenced their strategies, investment approach, product development and their views of what the economic future might hold.