Common use of Specific Functions Clause in Contracts

Specific Functions. ¨ Review of select reports that are reflective of the performance of Ridge in fulfilling the agreed upon Service Levels, in maintaining accurate books and records, and adherence to various polices, procedures and regulations. ¨ Review of the results of select, completed SRO examinations and audit reports of Broadridge and Ridge and Xxxxxx and Client business units. ¨ Review of the feedback provided by key business stakeholders within Xxxxxx and Client and Xxxxxx’x and Client’s introducing brokers. ¨ The EGC will also address: • The Service Levels being provided by Ridge • Broadridge’s and Ridge’s and Xxxxxx’x and Client’s adherence to existing polices, procedures and the Laws and Rules • The resolution of any unresolved disputes and controversies between the parties • The results of all audits conducted by Xxxxxx and Client as well as all SRO examinations • Broadridge’s, Ridge’s and Xxxxxx’x and Client’s readiness in preparing for new regulations and/or industry mandates • Any changes in the strategic direction of Broadridge or Ridge

Specific Functions. ¨ Review of select reports that are reflective of the performance of Ridge in fulfilling the agreed upon Service Levels, in maintaining accurate books and records, and adherence to various polices, procedures and regulations. ¨ Review of the results of select, completed SRO examinations and audit reports of Broadridge and Ridge and Xxxxxx and Client business units. ¨ Review of the feedback provided by key business stakeholders within Xxxxxx and Client and Xxxxxx’x and Client’s introducing brokers. ¨ The EGC will also address: • o The Service Levels being provided by Ridge • o Broadridge’s and Ridge’s and Xxxxxx’x and Client’s adherence to existing polices, procedures and the Laws and Rules • o The resolution of any unresolved disputes and controversies between the parties • o The results of all audits conducted by Xxxxxx and Client as well as all SRO examinations • o Broadridge’s, Ridge’s and Xxxxxx’x and Client’s readiness in preparing for new regulations and/or industry mandates • o Any changes in the strategic direction of Broadridge or Ridge

Specific Functions. ¨ Review of select reports that are reflective of the performance of Ridge in fulfilling the agreed upon Service Levels, in maintaining accurate books and records, and adherence to various polices, procedures and regulations. ¨ Review of the results of select, completed SRO examinations and audit reports of Broadridge and Ridge and Xxxxxx and Client business units. ¨ Review of the feedback provided by key business stakeholders within Xxxxxx and Client and Xxxxxx’x and Client’s introducing brokers. ¨ The EGC will also address: • The Service Levels being provided by Ridge • Broadridge’s and Ridge’s and Xxxxxx’x and Client’s adherence to existing polices, procedures and the Laws and Rules • The resolution of any unresolved disputes and controversies between the parties • The results of all audits conducted by Xxxxxx and Client as well as all SRO examinations • Broadridge’s, Ridge’s and Xxxxxx’x and Client’s readiness in preparing for new regulations and/or industry mandates • Any changes in the strategic direction of Broadridge or RidgeRidge Broadridge/Xxxxxx Proprietary and Confidential MASTER SERVICES AGREEMENT

Specific Functions. ¨ o Review of select reports that are reflective of the performance of Ridge in fulfilling the agreed upon Service Levels, in maintaining accurate books and records, and adherence to various polices, procedures and regulations. ¨ o Review of the results of select, completed SRO examinations and audit reports of Broadridge and Ridge and Xxxxxx and Client business units. ¨ o Review of the feedback provided by key business stakeholders within Xxxxxx and Client and Xxxxxx’x and Client’s introducing brokers. ¨ o The EGC will also address: • o The Service Levels being provided by Ridge • o Broadridge’s and Ridge’s and Xxxxxx’x and Client’s adherence to existing polices, procedures and the Laws and Rules • o The resolution of any unresolved disputes and controversies between the parties • o The results of all audits conducted by Xxxxxx and Client as well as all SRO examinations • o Broadridge’s, Ridge’s and Xxxxxx’x and Client’s readiness in preparing for new regulations and/or industry mandates • o Any changes in the strategic direction of Broadridge or Ridge