Transaction Services
Citi OpenInvestor
SM
Form PF Solution
A Comprehensive Solution Meeting the Data and
Operational Challenges Facing Alternative Fund Managers
Citi’s Form PF solution provides data management tools to gather, aggregate, map data and
deliver the information needed to help prepare and finalize reports for filing with the SEC.
Citi offers a flexible approach to Form PF with two levels of service. For clients that require extended support, Citi will create
a Form PF filing that extracts portfolio and investor data from funds administered by Citi and aggregates data from third-party
providers. Alternatively, for clients that prefer to create their own Form PF filing, Citi can deliver a customized portfolio and
data extract from funds administered by Citi.
Form PF Service Offering
Form PF Setup ­— maps and compiles data to the Form PF templates
Reporting — generates Form PF Draft and Final reports, along with backup calculation information for review
Web-Based Application — enables review, audit trails and submission of Form PF by client
Data Extraction — provides a complete data extraction of Fund, Position and Trade data to the client
Data Compilation — enrichments and maps data generated from Citi’s internal systems
Dedicated Service Team — knowledgeable industry experts available who work in conjunction with your fund
administration team and are available for client consultation
PF Platform — Your Real Time View
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Transaction Services
Citi works closely with our clients during the initial onboarding phase. We assess key requirements and formulate projected
timelines based on preliminary meetings and questionnaire documents. Post-filing, Citi continues monthly data maintenance
and agrees upon procedures in advance of future filings.
Onboarding
•Reviews of Form PF questions, responsibilities and
assumptions, step by step
•Prepares a comprehensive Responsibility Matrix
Pre-Conversion
• Client submits
questions and
completes the
Private Fund
Reporting
Questionnaire
Onboarding
• Document
assumptions
and timeline
•Provides an additional layer of mapping to SEC standards
•Produces calendar suited to client deliverables
•Executes Initial Proof of Concept prior to filing
Proof of Concept
Filing Form PF
• Test data and push
to FINRA
• Client sign-off on
Form PF data
• Dry Run with
complete set
of test data
• Client files
with FINRA
Post-filing
• Agreed-upon
procedures in
advance of
next filing
Citi OpenInvestorSM is the investment services solution for today’s diversified investor that combines specialized expertise,
comprehensive capabilities and the power of Citi’s global network to help clients meet performance objectives across asset
classes, strategies, and geographies. Citi provides institutional, alternative and wealth managers with middle-office, fund
services, custody, investing and financing solutions focused on clients’ specific challenges, customized to their individual needs.
For more information, visit openinvestor.transactionservices.citi.com
For more information regarding Form PF solution, please contact:
North America
Virginia Volpe
(212) 816-9960
[email protected]
Europe, Middle East & Africa
Bernard Hanratty
+353 (1) 622-6007
[email protected]
For more information, please visit
openinvestor.transactionservices.citi.com
Citi Transaction Services
transactionservices.citi.com
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service mark of Citigroup Inc. OpenInvestor is a service mark of Citigroup Inc.
1005177 GTS05937 10/12
Asia
Robert Humann
+852 3419 8803
[email protected]