| Manager Compliance Questionnare |
|
|
|
|
|
|
|
|
|
|
| March 31, 2010 |
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
| 1. |
Have there been any
changes in your organization? Have you undergone any change in ownership or
control? |
|
|
|
There have been no changes in
ownership or control of Mutual of America Capital Management Corporation
("Capital Management"), as of March 31, 2010. |
|
|
|
| 2. |
Have there been any
changes in your investment philosophy? |
|
|
|
There have been no changes to
the Mid-Cap Index investment philosophy, as of March 31, 2010. |
|
|
|
| 3. |
Have there been any
changes in your staff of investment professionals? |
|
|
|
There have been no changes to
Capital Management's staff of investment professionals, as of March 31,
2010. |
|
|
|
| 4. |
Have you lost a
substantial amount of business (amount of percentage of assets under
management)? |
|
|
|
No business has been lost during the quarter ending March 31,
2010. |
|
|
| 5. |
Have you gained a
substantial amount of business (amount of percentage of assets under
management)? |
|
|
|
No additional business has been
gained during the quarter ending March 31, 2010. |
|
|
|
| 6. |
Have there been any
new investigations begun by any state or federal government or their
agencies, or any charges filed, with regard to any division or unit of your
company, and in particular anyone who directly or indirectly performs
services for this client? Please provide details (if there is any doubt,
please err on the side of providing too much information). |
|
|
|
No state, federal government or
government agencies have begun any investigations, nor have filed any charges
with regard to Capital Management or our parent, Mutual of America Life
Insurance Company. |
|
|
|
| 7. |
For managers, with
fixed income portfolios that we monitor,
are you currently invested in commercial mortgage backed securities
(CMBS)? (If yes, please give % of fixed portfolio) |
|
|
|
N/A. |
|
|
|
| 8. |
Are you invested in
any unhedged and/or levereged derivatives? |
|
|
|
No. We do not invest in derivatives. |
|
|
|
| 9. |
What percentage of equity is
international?
The manager must immediately notify the Board and the Consultant when
the international exposure reaches ten percent (10%). An explanation will be
needed as to why the manager is changing their discipline. (This does not
apply to managers that are 100% international equity and to those that have
been previously given permission by the board and the consultant) |
|
|
|
0%. |
|
|
|
| 10. |
Are you invested in
any companies on the SBA's website? (Please review list of scrutinized
companies on the following website: http://www.sbafla.com/fsb/ProtectinginvestmentsAct/tabid/402/Default.aspx |
|
|
|
No. We are not invested in any scrutinized
companies listed on the SBA. |
|
|
|
| 11 |
Name of person
completing this form (please include company name)? |
|
|
Chris Mottershead, 2nd VP, Marketing, Mutual of America
Capital Management Corporation |
|
|
|
|
|
|
|
|
Page 4d |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
