WELCOME TO FUNDSERV

Mission StatementTo provide rel iable & resi l ient value-added network & appl icat ion services for

business-to-business in i t iat ives that minimize r isk & promote t imely, automated

interact ions that reduce cost wi th in the Canadian investment industry.

VisionTo be the acknowledged global leader in low-cost, low-r isk, straight-through-processing for the investment industry.

Strategic Principles• Protect our Core• Enhance our Organizat ional Effect iveness• Increase our Value

Table of Contents Corporate Services Product Management Technical Communications Risk Management & Accounting Customer Relations Marketing & Communications Training CRM Administration

Technology Application Development Architecture Development & Security Services Quality Assurance Services

IT Operations Network Services Data Centre Operations Server Operations & Desktop Administration Technical Support & UAT

Human Resources

Project Management & Business Analysis Business Analysis Project Management

344 8

10 10 10 10

13 141516

1820 22 23 25

28

303031

Ian CookCFO & VP, Corporate Services

1. Product Management

Technical Communications

2. Finance Risk & Administration

3. Customer Relations

Marketing & Communications

Training

CRM Administration

CORPORATE SERVICES

Corporate Services

3

Product Management

CORPORATE SERVICES

Harry GundyDirector, Product Management

• Providefirstlevelsupporttoall

clients in respect to any issues

reported by phone, mail or fax.

Conduct research into reported

issues and resolve where possible.

Escalate issues to other support levels

as required.

• Provide customer support during exter-

nal UAT testing for standards releases

as well as product releases such as

GICSERV and DTCC.

• Support BA group during all internal

UAT testing.

• Conduct Internal UAT testing as

backuporoverflowtoBAteamwhere

requested.

• Conduct testing with clients after

changes made to client setup –

ie. Network changes.

• Assist new clients looking to join the

FundSERV network during their man-

datory testing period.

4

CORPORATE SERVICES5

Product Management

CORPORATE SERVICES

Mark FeekerySenior Manager, Product Management

1. GICSERV

2. FundFacts

3. Other Non-Investment Fund Opportunities

6

CORPORATE SERVICES7

David PurewalDirector Finance, Risk & Administration

CORPORATE SERVICES

Finance Risk & Administration

Finance

• Budgeting

• Accounting & Customer Billing

• Financial reporting

• Taxes

Administration

• Regulation – OSC • Facilities

8

CORPORATE SERVICES

Risk

• N$M – Industry Settlement Process

• BCP – Business Continuity Planning

• ERM – Enterprise Rsk Management (identif ication, assessment, mitigation)

• Audits – Financial (PwC) and operational (Deloitte)

9

Customer Relations

CORPORATE SERVICES

Peter LacasseSenior Manager, Industry Relations

• New customer onboarding

• Relationship Management

• Customer Training

• Corporate Communications

• Marketing initiatives

• Code Registry Management

• CRM customer administration

• Public website content management

10

CORPORATE SERVICES11

TECHNOLOGY

Andre RobillardCIO & VP, Technology

Technology

1. Applicaiton development2. Networking Services3. IT Security4. Architecture Services5. DC Operations6. Desktop Support7. Technical Support

13

TECHNOLOGY

• Includes Solution Architects and

Software Developers.

• Plan and deliver a strategy to

develop and/or acquire software

applications that fulfil l Fundserv’s

business or technical requirements.

• Work with Business and other tech-

nology teams to define technical

solution to the business needs.

This includes solution analysis,

architecture and design,

development and assurance of

quality of the code developed.

Application Development

Leyla SamieeManager, Application Development

• Work with the Operations Team to

provide the last level of support for

production issues.

• Work with PMO during the

Software Development Life Cycle

by providing estimates, schedules

and Technical leadership to the

project team.

• Help to assess the impact and

urgency of code fixes in

production.

14

Architecture Development & Security Services

James LiuSenior Manager, Architecture/

Security Services

TECHNOLOGY

Architecture Development

The Architecture group is responsible

for the strategy, plan and design of

FundSERV’s computing infrastructure,

including relevant servers (Solaris,

Windows or Linux), storage, backup

systems, databases and other system

software.

Security Services

Ensures that security policies are in

place to protect FundSERV’s image,

assets, and compliance with legislation

and/or regulation. Establishes imple-

ments and monitors security strategies

to protect and safeguard all FundSERV

brand, data, intellectual property, and

technology.

15

Daniel VachonManager, Quality Assurance Services

Quality Assurance Services

SoftwareValidation&Verification

• Test planning for Quality Assurance and Quality Control activity.

• Load/performance tests.

• Validate processes conform to standards and documented procedures.

• Validation of other Quality attributes identified in FURPS+.

• Regression testing of existing sys-tems/software.

• Requirements based functional testing.

• Defect tracking and management.

• Production verification as needed.

Product training & documentation

• Provide functional training to other groups.

• Assist in drafting and verifying user guides produced by other departments.

• Author any documents as needed.

16

Customer Support

• Validate/verify escalated tech support issues and initiate defect process.

Customer Tests Co-ordination

• Provide support and guidance for early “pilot/POC” testing done by customers.

• Work with customers in shared testing activities as approved by FundSERV.

Technical Solutions

• Participate in business requirement walkthroughs and brainstorm sessions.

• Provide guidance and expertise as required by SDLC.

• Participate in design and code reviews as required.

17

TECHNOLOGY

IT Operations

Fatima JafriDirector, Operations

1. Network Services

2. Data Centre OperationsServer

Operations and Desktop Admin

(SODA)

3. Technical Support & UAT

18

TECHNOLOGY19

TECHNOLOGY

Network Services

Robert BrunneManager, Network Services

Network services provides skills and

expertise in planning, designing, imple-

menting, operating, and optimizing highly

secure and redundant enterprise networks

that will improve the seamless exchange

of data for both internal staff and selected

set of business-to-business (B2B)

companies.

Network Architecture:

Fundserv Network Services

delivers scalable and resilient

network infrastructures by provid-

ing detailed network architecture and

design for the intranet, extranet, and

FundSERV’s presence on the internet.

This is done by bringing together high-

availability concepts, validated design

principles, and the use of open stan-

dards network protocols in relation with

various network topologies.

20

TECHNOLOGY

Network Integration:

Fundserv Network Services integrates devices and new

capabilities in accordance with the architecture and

design without compromising network availability or per-

formance.Efficientmigrationand

successful implementation plans are executed which

includesprovisioning,installing,configuring,integrating,

testing, and commissioning all network devices. After

network operation is validated, the Network Services

team can begin expanding and improving skills to further

increase productivity and reduce system downtime.

Network Operations:

Fundserv Network Services proactively

monitors the health and vital signs of the intranet,

extranet, and internet networks to improve service

quality, reduce disruptions, mitigate outages, and

maintain high availability. And through network opti-

mization, the performance of the network is continu-

ously improved by analyzing, predicting and

regulatingthebehaviorofdataflowwithinthe

company.

21

TECHNOLOGY

Data Centre Operations

Operations Support

The Operations Support team manages physi-

cal access to FundSERV premises and provides

monitoring, escalation services for our network,

servers, and datacentre equipment.

UNIX and Database Administration

The UNIX and database administrators will provide servic-

es strategic to day-to-day operations of the servers and da-

tabase to ensure there is no interruption to service affecting

our customer. This includes the management of disk space

usage,monitoringperformance/logfilesandapplication

code deployments. The development and QA environment

are not support by this group.

22

TECHNOLOGY

Server Operations & Desktop Admin

Windows Server Support Windows Server support services provide data stor-

age and compute cycles for Windows based applica-

tions. This includes the management of disk space

usage,monitoringoflogfiles,monitoringperfor-

mance, upgrading hardware, applying patches, and

installation of software.

Desktop Support Services

Desktop Support services provide strategic and day-to-

day support of employees’ usage of personal computing

in their business related activities. The service goal is to

ensure that employee productivity is maximized through

effectiveandefficientproblemresolution.Acontinuous

improvement process to identify and eliminate issues

attheirrootcauseensuresaneffectiveandefficient

resolution process.

23

TECHNOLOGY

TECHNOLOGY

Steve SciortinoManager, Technical Support & UAT

Technical Support & UAT

• Provide first level support to all clients in respect to any issues re-ported by phone, mail or fax. Conduct research into reported issues and resolve where possible. Escalate issues to other support levels as required.

• Provide customer support during external UAT testing for standards releases as well as product releases such as GICSERV and DTCC.

• Support BA group during all internal UAT testing.

• Conduct Internal UAT testing as backup or overflow to BA team where requested.

• Conduct testing with clients after changes made to client setup – ie. Network changes.

• Assist new clients looking to join the FundSERV network during their mandatory testing period.

25

One Network Many Connec

onnections

Technical Support & UAT

Julie LoyolaManager, Human Resources

Human Resources

HR Employee Relations Role

• To develop and support FundSERV’s HR policies

and standards required to comply with employment

law and business practices while achieving busi-

ness goal.

• To support effective management of departmental

and individual relations; provide advice and

guidance to managers regarding employment

relations issue.

• Areas of work include employee engagement,

evaluation,andpositionclassification.

HUMAN RESOURCES 28

HUMAN RESOURCES

HR Strategy and Change Role

• To support organization and departments by

providing professional advice and guidance on

good strategic management practice to ensure

FundSERV’s strategic goals are delivered.

• Areas of work include developing HR strategies,

job evaluations, change management, bench-

marking.

HR Operational Role

• To support the effective recruitment and selection of

high quality employees to help meet FundSERV’s

mission.

• Toadministerstaffgroupbenefits,payroll,HR,

policies and provide advice on day to day HR

matters.

• Areas of work include dealing with resignations, exit

interviews probations, performance management,

leaves of absences, recruitment & selection, payroll

&benefits.

29

Project Management & Business Analysis

Jorge RuizSenior Manager, Project Management & Business Analysis

PROJECT MANAGEMENT & BUSINESS ANALYSIS

Project Management

• Manage the project portfolio to ensure corporate goals are met

• Report to Executive team as the health of the project portfolio (via a monthly scorecard)

• Manage all aspects of an enterprise project from inception to implementation and closure

• Ensure negotiated commitments on quality, scope, & schedule are achieved

• Provide visibility to the project stakeholders

• Escalate issues to the project stakeholders and/or the executive team

• Maintain & ensure adherence to the corporate project methodology

30

PROJECT MANAGEMENT & BUSINESS ANALYSIS

Business Analysis

• Elicit, validate and document comprehensive business and functional requirements for projects

• Support development of effective industry standards and automation

• Provide research and analysis to support new business initiatives

• Provide knowledge of FundSERV application environment to industry committees and working groups

• StandardsHelpfileexpert;supportinternalandexternalcustomersthroughinterpretationofthedata standards and business processes

31

FundSERV Inc.The Exchange Tower, 130 King Street West, Suite 1700, P.O. Box 485, Toronto, Ontario, M5X 1E5T: 416-362-2400 / 1-866-362-FUND (3863)F: 416-362-8772 www.fundserv.com