| Account Code | Account Name | Test Category | Bucket Code | Conc | Upper Limit | Lower Limit | Share Qty | Test ID | Run ID | Result ID |
|---|---|---|---|---|---|---|---|---|---|---|
Result Status: Alert (1) Test Name: RESTRICTED TRADING LIST: GSAM : cannot trade LAES This name is on the Restricted Trading List for this account. | ||||||||||
| GSAM_EQ_GLOBAL | GSAM Global Equity Fund | Restricted List | RTL_GSAM | 100 | 0 | - | 25,000 | 401128 | 5557021 | 5557400 |
Result Status: Passed (2) Test Name: No more than 30% in any sector — BB | ||||||||||
| EQ_ETF_DEMO | Equity ETF Demo | Industry | SECINDUST_40 | 41.144 | 30 | - | 10,267,099.44 | 129546486 | 334416690 | 334416727 |
| PIMCO_CORE | PIMCO Core Plus Bond | Industry | SECINDUST_40 | 18.402 | 30 | - | 18,402,330.1 | 129546487 | 334416691 | 334416728 |
Result Status: Passed (3) Test Name: Issuer concentration < 5% — Lehman | ||||||||||
| BLK_GLOBAL_ALLO | BlackRock Global Allocation | Issuer | ISS_LAES | 1.84 | 5 | - | 84,220,000 | 129546499 | 334416712 | 334416750 |
| WELLS_DIVRSF | Wells Diversified Growth | Issuer | ISS_LAES | 0.62 | 5 | - | 41,500,000 | 129546500 | 334416713 | 334416751 |
| MFS_GROWTH | MFS Growth Trust | Issuer | ISS_LAES | 2.11 | 5 | - | 36,220,500 | 129546501 | 334416714 | 334416752 |