Initial Market LandscapeProduct Name

Industry Trends & Issues

1. Global Regulations (Regulation1, Regulation2, Regulation3) Legal Entity Identifier (LEI) definition & adoption to consistently & uniquely identify all legal entities Transactions to be rolled-up the legal entity hierarchy

2. Risk Controls & Compliance Demand for single view of counterparty credit exposure across asset classes Demand for accurate and constantly refreshed view of customer identifying data and associated risk category

3. Manual, Fragmented Processes & Systems Inorganic growth thru Mergers & Acquisitions leading to multiple (duplicate) processes and applications Operational in-efficiencies due to Business Unit (silo) and not consolidated processes

4. Revenue Generation More cross-sell opportunities to increase revenue from existing clients Increased revenues, cash-flow through data quality & process improvements without influencing demand

Business Problem

1. Revenue Assurance for accelerating time to setup client and account for transactions for discovering cross-sell opportunities

2. Regulatory Compliance for accelerating time to respond to regulatory changes for providing real time view and updates of risk associated with client and maintaining complete trace-ability

3. Single Customer View for identifying total risk exposure to a given client, legal entity for calculating profitability and productivity of sales and business lines

4. Operational Efficiency for lowering failures due to in-correct, incomplete standing instructions for improving data quality across lifecycle, systems & touch-points for lowering cost of ownership

5. Customer Satisfaction for reduced touchpoints and repeat requests during on-boardings For improved process cycle time

Landscape of Competition and Clients Business

Segment1Business Segment2

Business Segment3

Business Segment4

Business Segment5

Service Area1

Basic Data Providers Company1, Company2, Onesource

Enhanced Data Provider Company2, Company3 Company5 Vend15

Managed Function Company6, Vend16

Service Area2

Workflow, BPM Vend4, Vend5, Vend6Master Data Managemet (MDM) Vend3, Vend7 Vend10,

Specialized, Niche Vend11, Vend12, Vend13 Vend11, Vend14

Service Area3

IT Services Vend2 (Vend1), Vend17 (Company8), Vend8 (Company9, Company10), Vend9, Vend18

Captives Vend1, Company10, Company8 Company7

Regional IT Firms

Service Area4

Captives Vend1, Company10, Company9, Company8 Company7BPO/Ops Firms Vend17 (Company8), Vend19, Vend8, Vend20, Vend21, Vend22, Vend23

Regional / Nearshore

Potential Partners. Knowledge, experience in these areas adds credibility in domain

Potential Competition. (in brackets current known clients)

Value Proposition & Target SegmentBusiness Segment1 Business Segment2 Service Agreement

Definition Account Setup Customer Account Servicing

Value Proposition

Provide end to end solutions that begin with root cause analysis informed by deep domain expertise, resulting in far more effective processes and technology solutions being implemented. We have completely transformed client and account on-boarding for investment & commercial banks by improving regulatory compliance, client satisfaction and revenue assurance. Here are some of the results: Reducing cycle time from x to y days resulting in $xxmm of revenue acceleration Achieving nn% data field entry accuracy- reducing trade breaks by mm% ab% FTE productivity gains by removing half the manual work caused by inaccuracies/ duplicative processes $nnmm Simplifying upfront data collection, resulting in a steep drop in data field rejects from x to y%.

Who would buy & why

Tier 2 Companies Only now started to look at doing client-account on-boarding as strategic

business function Less Legacy, more manual thus more open to complete transformation

Tier 1 firms Recent Regulations & M&A activities forcing them to over-haul their legacy

infrastructure. Mature / Legacy client servicing teams thus more specific, point solution

based opportunities

Client Services Operations (firm-wide or by Business Units)

Operations Technology Compliance Officer CRO CFO Business Line Heads

Target Markets

First Wave - North America (Tier 2 and Tier 1) Next Wave – EMEA, APAC

Validation of Approach

Tier 2 Firms Client1, Client2- Both struggling with process operations and looking for expertise - inhouse, managed function,

extended teams, near-shore Tier 1 Firms

Client3 – interested in LE data mapping, data maintenance capabilities. Is running 2 year program around client-account on-boarding

Client4 – 2012 budgets around re-engineering/automating processes in the space. Vend1 – currently running 2 year program around this space

Step 1.1.1: Initial Market Landscape: Potential

Total EDM Budget (Tech+Ops+Data)

% spend on Client-Account data

~ $ Value

Ind 1- Tier 1 Companies $ 10-50M 35% $ 3.5-17.5M

Ind1-Tier2/3 Companies $ 5-10M 27% $ 1.35-2.7M

Ind 2 Tier 1 Companies $ 5-10M 10% $ 0.5-1M

Ind-2 Tier 2 Companies $ 1-5M 12% $ 0.12-0.6M

Current CompanyRevenue Potential New Clients

• Client1• Client2

Size of Market Targeted Revenues

Target Audience

Operations

Client Services Operations (firm-wide or by Business Units) – Operational Efficiencies – Cost reduction, Improved Turn-around time for Account Opening / Client Setup processes

Operations Technology – Workflow Automations & Integrations Compliance Officer – Workflow Automation, Dashboards

Consuming Groups

CRO – Single View of Customer for aggregated Risk – Legal Entity Hierarchy & rollups

CFO – Single View of Customers for Client data analytics on profitability, productivity – Client-Account Linkages

Business Line Heads – Single View of Customer for Cross-sell , revenue acceleration – Client-Account Linkages

Trends

Regulations Globally regulations (Regulation1, Regulation2l) are demanding data for

calculating systemic risk and firms need to report at consolidated client level which needs a single customer view and integration across systems

Efficiencies Most firms are using regulatory mandate as opportunity to re-engineer their

Client-Account environment for efficiencies, cross-sell