INTEGRATED TECHNOLOGY

RE-DEF IN ING

T H E V E R A C E N P L A T F O R M

J U N E 2 0 1 7

Table of Contents

3 Landscape & Challenges

4 Catalysts for Change

5 People, Process & Technology

6 The Veracen Solution

8 The Veracen Platform Capabilities

9 Application Architecture

10 Leveraging Collaborative Expertise

11 Key Differentiators

12 Appendix – Sample Views of The Veracen Platform Modules

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Need to do more with

less Improved Visibility

Stress in the ecosystem

Margins consistently under pressure due to

increasing operating cost to support expanding regulation, increased

information needs and legacy inefficiency.

Timely Transparency and tracking of 3rd Party

Managers is integral to the asset allocation

process and is a cornerstone for scalability

in managing asset flow

People dependent processes coupled with

multiple legacy platforms and data redundancy

create increased operational risk

Landscape & Challenges

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Catalysts for Change

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Fragmented Technology

Traditional solutions engineered as silos resulting in multiple

Fragmented Disparate Systems

Systems not keeping pace

Transparency

Redundancy and inadequate information

presents a need for an end to end platform with a

core data warehouse and 3rd party manager

tracking and reporting

Information Overload + Gaps

Search for Alpha

Asset allocation facing headwinds in locating,

evaluating and maintaining managers that

are producing uncorrelated returns

Passive investing – a race to the bottom

People, Process & Technology

Veracen and Linedata have joined forces to provide fund and technology services enabled by dedicated professionals, industry standard processes and world-class technology to create smart scale and reduce operational risk & overall costs.

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Powered by Gravitas Cloud, our world-class technology platform integrates full investment management and support functions into a single application.

Technology

We collaborate with you to deliver customized workflows and procedures to preserve your day-to-day operations and keep you ahead of the competition.

Process

Highly experienced, passionately dedicated professionals around the globe, providing you with responsive, energetic expert service, 24 hours a day

People

The Veracen Solution � The Veracen Platform

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Risk Management •  ROI & attribution •  Statistical risk measures

Technology

Investment Management Dashboards •  The Veracen Platform •  Access to sophisticated trading models •  Rebalancing & Allocation tools •  What-if scenarios

Global Portfolio Suite •  OMS/EMS •  Pre/post trade compliance •  Portfolio decision tools •  Portfolio Management & Accounting

3rd Party Manager Support •  Pre/post investment stats & returns •  Transparency & attribution

Why is The Veracen Platform compelling? The Veracen Platform Design Strategy

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Segregated, Modular Functionality

Standard APIs for Integration

Compelling Intuitive UIs

Event Stream Based Processing

Managable, Scalable, Supportable

Cloud Infrastructure Ready

User Experience

Better design = more and happier users

DevOps

Ability to automatically update and deploy

Modularity

Clients want easier access to different functions

Cloud Ready

Ability to scale through cloud technology

Web Technology

To facilitate multi-platform delivery

The Veracen Platform Capabilities

Reducing vendors, streamlining processes, driving efficiencies, and decreasing costs

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Risk Analytics

Research Support

Portfolio Analytics

Model Construction

What –If Scenarios

Global Security Master

Custodian Linkage

Market Data

Master Data Warehouse

Multi Ccy / Multi Asset Class

Portfolio Management & Accounting ties

Investment Manager (3rd Party) Tracking

What –If Scenarios

Model Rotations & Rebalancing

Order Entry

Pre-Trade Compliance

Order Routing

Order Execution

Post-Trade Processing

Post-Trade Compliance

Collateral Management

Corporate Actions

Daily Reconcilia-tion

Performance & Attribution

Proxy Management

Revenue Management

(Billing)

Fund & Investment Management Capabilities Platform

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Application Architecture

Fully Integrated Data Warehouse + Dynamic Reporting

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OMS & Compliance Portfolio Tools &

Models Reconciliation

Global Security Master Data

Warehouse World

Wide Web

Risk

Dashboards & Reporting

Client Reports

Trading SMA

information

Leveraging Collaborative Expertise

Veracen, Linedata, Gravitas & KPMG

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Creating and end to end platform, intuitive dashboards and proprietary Fixed Income & Equity income portfolio management tools. In concert with Investment management & advisory services

Providing all of the global technology supporting the platform – OMS/EMS, Compliance, Portfolio Management, Reporting

Providing turnkey services to support daily reconciliation, risk management reporting and oversight/management of all technology and global data centers

Providing Integration Assistance and Coordination, including Program Management, Operational Readiness (Business Process Re-design, Change Management, Training, etc.), Vendor Coordination, and Industry Guidance

Key Differentiators

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Integrated Modular Solution

Complete End-to-End Lifecycle

New Paradigm - Combo of Technology & Services

Access to Advanced Modeling

Information Transparency

One Data Set

Fully Managed Implementation

Sample Views of The VERACEN Platform Modules Modules Views:

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The Veracen Platform

DashboardsOMS, Compliance & Portfolio Tools Reconciliation Risk

Reporting

Asset Management Dashboard

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Easy access to essential information

Strategy Summary

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Configurable analytics and drill down navigation

Vera – Portfolio Summary

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Portfolio composition and summary of recent transaction activity

Sector / Industry Exposure

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Long, Short, Net and Gross exposure at both Sector and Industry levels

Portfolio Exposure Summary

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Long, Short, Net and Gross Exposure at the Portfolio and Fund Level

Global Multi-Strategy Fund Dashboard

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Consolidated view of Exposure , P&L and, VAR as well as sensitivity

Long/Short Equity Exposure and Risk Summary

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Top 5 Exposure , VaR , Beta , Volatility & Correlation

Portfolio Rebalancing / Modeling

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Comprehensive rebalancing and modeling functionality

Model Types: §  Security Targets §  Concentrated Targets (Sector, Country, etc.) §  Asset Allocation (IPS) §  Lead (Perfect) Account

Rebalancing to Models: §  Single Account §  Macro (Many Accounts) §  Aggregate (Group/Sleeves)

Rebalancing Properties: §  Track Drift to targets §  Substitution §  Tax Consideration Other Order Generation: §  Cash Rebalance (Sub/Red) §  Security Switch §  Bottom Up (Block Creation)

Pre-trade & Post-trade Compliance

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Powerful compliance capabilities: efficient via rule parameterization

Rule Coverage •  Included Rule Library with re-usable rule

templates •  Investment Restrictions •  Restricted/Approved Security Lists •  Concentration Tests •  Regulatory Libraries (40 Act, UCITS, etc.) Rule Application •  Pre & Post Trade Checking •  Multiple levels of severity •  Override Support •  Account/Portfolio and/or Aggregate/Group

testing •  Post-trade breach management •  Full Audit Trail

Trade Allocation

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Broker-matching supported via Omgeo CTM and direct-to-broker FIX allocations

Blocking / Order Management •  Blocking Algorithms support auto-blocking

on desk •  Support for Directed and/or Step-Out Allocation •  Time-based Allocations (Fair Allocation) •  Auto Allocation •  Many Allocation Algorithms •  Commission/Fee Calculations •  Tax Relief Support

Trading Tools: Security Swap & Cash Rebalance

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Straight forward ability to swap securities

Vera – Dollar Duration Targeting

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Rebalance Fixed Income portfolios on a Strategy level based on Dollar Duration targeting

Longview – Blotter

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Flexible, configurable Trade desk blotters can be organized by trader, region, asset class, etc

Reconciliation – Management Dashboard

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Information concerning reconciliation breaks age, delivery time line of recs, Break age in $ and break counts by action code.

Reconciliation Summary

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Transaction Aged Breaks by Action Code and Positions by Matching

Liquidity Review

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Liquidity Profile of Long only Equity Fund

Scenario Analysis Report – P&L Impact

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Single factor shock as well as absolute or relative shock

Historical Stress Test Report

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Uses actual risk factor movement during historical event

Interest Rate Stress Test

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Single factor shock as well as absolute or relative shock

Correlation & Comparative Risk Summary

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Beta with market indices and correlation with fund

VaR by Classification

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VaR at any aggregation level

Counterparty Exposure

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Exposure and cash balances by counterparty

T H E V E R A C E N P L A T F O R M

Thank You

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