Monthly Regulatory Compliance Change Management Summary

Attached you will find both our monthly Regulatory Compliance Change Management Summaries as of October 31, 2017 and as of November 30, 2017.

Noteworthy Items:

• • The summary has been updated to include items that are in testing, and also includes the current status of the testing. The information can be found on the NEW QA Validation tab.

Any questions related to the monthly summary or specific regulatory change items can be sent directly to compliancechgmngt@cenlar.com. The Compliance Department will respond within 24 hours of receipt of your question (excluding weekends and holidays).