Issue link: https://read.uberflip.com/i/1494922
PROPOSAL OF SERVICES FOR PURCHASE COLLEGE FOUNDATION | Page 13 Please provide any (past, present, or pending) EEOC censure, arbitration settlements, or litigation involving your firm or any professionals within your firm. SEIC and subsidiaries SEI's parent company, SEIC, is a large international financial services company and its subsidiaries are subject to extensive regulation and examination by regulatory authorities and self-regulatory organizations in the U.S. and other countries. The following is a representative list of these organizations. U.S. Regulatory Organizations Non-U.S. Regulatory Organizations • Securities and Exchange Commission (SEC) • Department of Labor (DOL) • Office of the Comptroller of Currency (OCC) • U.S. Commodities Futures Trading Commission (CFTC) • National Futures Association (NFA) • Financial Industry Regulatory Authority (FINRA) • UK Financial Conduct Authority (FCA) • Central Bank of Ireland (CBI) • Ontario Securities Commission (OSC) Various SEIC entities are in communication with regulatory agencies about examinations, inquiries, investigations, and other proceedings. As a publicly traded corporation, SEIC is subject to federal securities laws and required to file annual and quarterly reports with the SEC on Forms 10-K (Part I, Item 3. Legal Proceedings, Related Notes to the Financial Statements, etc.), 10-Q (Part II, Item 1. Legal Proceedings, Related Notes to the Financial Statements, etc.), and 8-K. Material regulatory or litigation matters that require public disclosure are available in these filings at seic.com/investors. When was your last regulatory examination? Please describe the findings of that examination. Please see our response to the previous question. Please list all applicable insurance (Errors & Omissions, Directors & Officers) including carrier and coverage limits. Given the significant rise in cybercrime, we no longer share details of the extensive insurance SEIC and its subsidiaries carry prior to partnering. Once SEI partners with a prospect and is awarded the business, proof of insurance will be provided. SEI's contract will reflect mutually agreed upon insurance commitments and our insurance provider will share the required insurance information with your organization. Overall, SEI's parent company, SEIC, maintains in full force and effect a comprehensive property/casualty insurance program that includes such coverage as workers' compensation, employer's liability, commercial general liability, professional indemnity, cybersecurity, fidelity and property/business interruption that extends to all its subsidiaries and is underwritten by very reputable insurers having an A.M. Best rating of A- or higher. All corresponding limits of coverage are in line with peers and at levels SEIC management deems reasonable given the company's financial standing and its insurable risks.