Page 2 About StratexSystems Our Commitment To enable your firm
to; enhance strategy execution by 5% enhance capital efficiency by
15% reduce operational losses 25% while providing 100% confidence
that your business is operating within appetite. Our Mission To
provide an integrated strategy and risk management solution which
enhances strategy execution by 5%, enhance capital efficiency by
15% and reduce operational losses 25% while providing 100%
confidence that your business is operating within appetite. One
clients results Since HML commenced its initiative to implement an
enterprise-wide risk management framework in March 2008, we have
reduced our Pillar 2 capital by 81.2% while delivering a 94%
reduction in the value of errors and a 63% reduction in the volume
of errors Head of Enterprise Risk, Homeloan Management Limited
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Page 3 Post credit crunch, Financial Services clients face
challenges beyond traditional Risk Management Lack of an
integrated, enterprise-wide solution Too many spreadsheets Systems
reinforce silo processes Compliance focused risk tools Intensive
and intrusive Regulatory oversight Board and Senior Management
pressure Political pressure to reform and do things differently
Basel 3, Solvency 2, S166 Confidence in our approach Proven
partners Low Risk Keep us out of the newspaper Cost effective
Confidence in our approach Proven partners Low Risk Keep us out of
the newspaper Cost effective Deliver strategy Reduce capital
provision Reduce operational losses Reduce / eliminate fines Enable
the right culture Deliver strategy Reduce capital provision Reduce
operational losses Reduce / eliminate fines Enable the right
culture Operate within Appetite
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Page 4 Our solution is called StratexPoint StratexPoint is an
Integrated Strategic Execution and Risk Management solution Built
on the ubiquitous SharePoint platform Supports each of the Three
Lines of Defence Comprehensive in nature but modular in deployment
Our solution delivers: High ROI High User Adoption High Levels of
assurance that your business is operating within appetite
StratexPoint is also a proven tool for supporting the 4 th Line of
Defence
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Page 5 We provide one of the most complete strategy execution
& risk management solutions available today Leverage your
existing technology Business driven design Risk-Based Performance
Management Balanced Scorecard & Strategy Map Enterprise &
Operational Risk Management Risk-Based Internal Auditing 1 st Line
Strategy-focused, Risk Aware culture enabled and embedded 2 nd Line
Work with the business to build competitive advantage 3 rd Line
Take a Risk-based approach to auditing and business assurance 78%
of Fortune 500 companies Every day for the past five years, 20,000
workers have joined the ranks of SharePoint users One in every five
knowledge workers now has access to SharePoint Easy access to
powerful MI & Analytics
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Page 6 StratexPoint is designed to support an integrated
approach which enables sustainable strategy execution Performance
Management Risk Management Strategy Management Appetite What are we
trying to achieve? Are we on track? What is our Risk Appetite? Are
we operating within appetite? Governance & Communications
Culture
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Page 7 A proven ownership and governance model is baked into
StratexPoint The buck stops here Those with Yes/No authority
related to the objective, risk or control. Keep in the loop Those
involved prior to decisions or action related to the objective,
risk or control. The doers Those people working on delivering the
objective, managing the risk or applying the control. Keep in the
picture Position(s) that need to know about decision or action
related to the objective, risk or control. P P
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Page 8 The StratexPoint solution is underpinned by a
conceptually sound data model Objectives KPIsActions Key Risks
KRIsActionsAssessmentKey Controls KCIsActionsAssessment Events
Certification Risk Appetite ProcessesInitiativesSystems People
& Roles Assets Operational enablers are aligned to strategy
Entity Business Drivers GovernanceCommentaryWorkflows Audit Trails
Build a strategy focused, risk aware culture
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Page 9 One firms view of how we compare to our competition
Based on our market scan, StratexPoint provides best of breed
functionality at a lower cost and with faster implementation
Cognizant, Nov 2012.
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Page 10 Deployed on existing in-house client SharePoint
environment Managed by client SharePoint team StratexPoint
deployment options Cloud Hosted On-Premise Deployed on a shared
SharePoint environment on the Microsoft Azure platform Managed by
StratexSystems team Deployed on dedicated SharePoint environment on
the Microsoft Azure platform Managed by StratexSystems team Common
platform Industry strength security framework Switch between
deployment modes Companion app: (Stratex Studio)
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Page 11 Our implementations follow a clear structure, designed
to deliver quick results and develop capability Week 1Week 2Week
3Week 4Q1Q4Q2Q3 Project phase: Approx. 2 4 weeks (depending on
scope of deployment) Build & test Deploy & Handover
On-going client engagement Discovery & Design Quickly
understand the current situation and desired future state Load
existing data Customise reports and analytics Transfer knowledge
and create capability
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Page 12 Our solution is deployed in a range of Financial
Services clients (sample below) who are regulated by a range of
global regulators A Global Investment Bank Central Bank/Financial
Services Regulator (x2)
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Page 13 We have a proven track record of delivering significant
business value Improve EBITA by 5% Reduce Regulatory Capital by 15%
Reduce Operational Losses by 25% 100% confidence that your business
is operating within appetite. What value would this have to your
business? Your underlying approach [Risk-based Performance
Management] reflects how we want our regulated firms to manage
their businesses. - Lead Supervisor, A European Central Bank
reduction in the value of losses 93% reduction in the volume of
losses 56% Reduction in High Risk Audit Issues 80%
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Page 14 S TRATEX R ISK M ANAGEMENT Q UICK S TART Deployment of
a risk and controls framework for a single business unit Risk
management reporting and dashboard suite 15 StratexPoint licenses
(for one year) Read only users are free of charge 10 days
deployment consultancy and training 90 Day Risk Management
Deployment and Embedding Roadmap 3 x Quarterly health checks post
initial deployment Consultant allocated to the project
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Page 15 Q&A
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Page 16 Screenshots
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Page 17 Navigator
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Page 18 Example Home Page
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Page 19 Framework Drill Through
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Page 20 Framework Item Ownership
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Page 21 Indicator update (Indicator Trends)
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Page 22 Indicator Update (Indicator Location)
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Page 23 Indicator Update (Add Document)
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Page 24 Commentary (can be made mandatory based on indicator
colour)
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Page 25 Indicator Acknowledgement Dashboard
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Page 26 Risk Assessment
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Page 27 Risk Assessment (commentary panel)
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Page 28 Controls Self-Assessment
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Page 29 Controls Self-Assessment overview
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Page 30 Control Certification
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Page 31 Strategy Map
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Page 32 Risk Map Dashboard
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Page 33 More Traditional Risk Heatmap
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Page 34 Risk Heatmap Drill Through
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Page 35 Appetite Alignment Matrix
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Page 43 Risk and Controls Overview Dashboard
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Page 44 Indicator Dashboard Report
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Page 45 Risk Events Process Capture risk events from across the
enterprise 1.New event Registration Estimate the direct and
indirect impact of the event 2.Estimation Complete a structured
investigation into the event 3.Investigation Identify root causes
for the event and defined continuous improvement activities 4.Root
Cause Analysis (RCA) Define how the event will be resolved
5.Resolution Ensure approvals are done only by authorised staff
6.Approval Manage the payments related to the resolutions
7.Payments Enable resolutions to be reconciled to the GL
8.Reconciliation Capture Risk Events from across the Enterprise.
Workflow-driven process from capture to close. Drive continuous
improvement through an analytical approach Capture Risk Events from
across the Enterprise. Workflow-driven process from capture to
close. Drive continuous improvement through an analytical
approach