Documentation

All claimed trading activity as well as holding positions at the commencement and end of the Class Period must be properly documented.  Our company always provides an ample amount of time for the claimants to obtain required documentation and information.  As part of our claims administration process, we send written notices to claimants whose filings were deemed either partially or completely undocumented.  If the documentation is not provided by set deadlines, we reserve the right to reject such claims, partially or in full.

Please note that proper documentation is not limited to confirmation slips and brokerage statements.  The information below outlines the wide variety of documents that may serve in place of supporting documentation:

Brokerage Documentation

1. Confirmation slips.
   
   
2. Monthly, quarterly and year-end statements.
   
   
3. Form 1099.
   
   
4. Letter from the broker on the letterhead.
   
   
5. Printouts from the internal record-retention system.  Must be accompanied by a cover letter from the broker indicating the source of the data and stating that it is complete and accurate to the best of their knowledge.
   
   
6. Profit & Loss statements.

Banking Documentation

1. Monthly, quarterly and year-end statements.
   
   
2. Printouts from the internal record-retention system.  Must be accompanied by a cover letter from the account administrator indicating the source of the data and stating that it is complete and accurate to the best of their knowledge.
   
   
3. Profit & Loss schedules.

Other

1. Trade runs from financial institutions.
   
   
2. Monthly, quarterly, semi-annually, year-end portfolio holding statements.