worldflow Connect

Trade Reconciliation and Financial Reporting Solutions www.worldflowConnect.net

The Trading and Accounts Database (TAD) is a configurable suite of automation, administration and reporting tools for managing research driven broking and subscriptions.

• Replaces costly manual processes for administering FO/BO trade flows for Ullink OMS Clients

•Matches and reconciles daily trades from OMS and Settlement systems

–Assigns cleared trade data to specified client accounts

– Identifies and flags exceptions/failures to the operations team for investigation and escalation.

– Enables operations team to manage the status of all exceptions whilst automatically clearing the backlog as trade data is updated.

What TAD?

•Manages research subscriptions income stream • View brokerage and research subscription income down to individual client level.

• Generate Scheduled, CSA and Ad-Hoc invoicing for subscribing research clients.

• Maintain records of Voting and Payment schedules for CSA clients, view upcoming events calendar.

• Single management system for client billing and payment records.

•Manage allocations of brokerage incomes • Assign brokerage income between departments or regional businesses.

• Correctly assign proportions of brokerage fee income for Step-In, Step-out transactions.

What TAD?

•Generate a range of operational and financial reporting including

•Daily Trade Blotter (with electronic sign-off process)

•Profit and Loss on trading activity

•Departmental, Location, company/entity level

•End of Period financial reporting (Daily/Weekly, YTD etc)

•Client level income reporting combining brokerage and research income streams

•Range of client credit limit reports

•Ad-hoc internal reports and trading updates delivered via email

•Regulatory reporting for FCA, ISMA etc.

What TAD?

TAD Structure

TAD

Trade Reconciliation and Reporting

TAD Overview

• Batch uploads of trading data from OMS and Settlement Systems on daily basis

• API to CRM System for client data import and download of daily P&L/Client Activity Reports

• Operational and Financial reporting

– Daily Trade blotter

– End of Day/End of Month/YTD

– CSA Commission reporting

– Client invoicing

– Inter-office transfers

TAD Overview - Operations Orders View

TAD Overview - Operations Client Booking Detail

TAD Overview - Operations Market Order Detail

TAD Overview - Operations Order Confirmation Detail

TAD Overview

Managing Trade Exceptions (“Breaks”) • Trade Data from both OMS and Settlement uploaded to

TAD by batch process, the system will flag trades as “Breaks” based on a pre-determined set of exception rules (e.g.) – Trade Date difference – Book Position not flat – Client ID mismatch

• TAD will automatically clears breaks where exception is corrected by subsequent OMS or Settlement updates.

• Operations able to view complete trade data from OMS and Settlement system reports – Able to clear breaks or mark and escalate for resolution.

TAD Overview - Operations Managing Exceptions (“Breaks”)

TAD Overview - Operations Managing Exceptions (“Breaks”)

TAD Overview - Operations Reporting Failed Trades

TAD Overview - Finance Client Account Details

TAD Overview - Finance Manage Client Payment Types

TAD Overview - Finance CSA Voting and Invoice Calendar

TAD Overview - Finance Generate Invoices for Research

TAD Overview - Finance Generate Invoices for Research

TAD Overview - Finance Invoice Management & Settlement

TAD Overview - Finance Allocate Fees between offices

About worldflow

Who are worldflow?

• Services and Software Business focused on Finance

• Founded 2002 – Core team of 40 with extensive hands on experience,

predominately working in Front Office environments delivering change, integration, implementation and systems build.

• Delivered >200 Projects

– Other major projects include • Structured Products Management System for Intesa San Paolo

• Build of Digital Vega FX Options ECN

• Multiple Mobile and Web Applications for Research Distribution

• Structured Products Trading System for ABN/RBS

• Merging of FO Trading Environments at CommerzBank/Dresdner

• Build of Client Access Portals for ING, RBS and Nomura

What is worldflow Connect?

Connect is a suite of software and service components built to support and automate a range of Financial Service Processes:

– Development Expertise • A dedicated on-shore development team that works with clients to

configure and build solutions based on the Connect component library.

– Services Expertise • Extensive knowledge and hands on experience of working with Financial

systems and data in regulated environments (including research, compliance, commercial documentation and eCommerce)

– Support Expertise • worldflow solutions are predominately delivered as fully managed cloud

based services from our high availability, secure hosting facilities in the UK. We provide a range of support services from Business day to mission critical 24/7

worldflow Connect customers

• Customers/Deployments – Autonomous – TAD Trade Reconciliation, Research Mobile, Surveys

– Banca IMI – Web Application for managing Structured Products Issuance and Sales workflows

– Digital Vega – Multi-bank FX Options exchange

– ING Commercial Bank – Research Web/Mobile

– Scotia Bank – Research Mobile

– Sberbank – Research Mobile

– Kroll Bond Ratings – Research Mobile

– Teneo Strategy – Authoring & Publishing, Research Web/Mobile, eMail Distribution, Surveys

– MSCI – Research Mobile

– Business New Europe – Research Mobile

– EuroIRP Association of Independent Research Providers – Aggregate Research App

– Equity Investor App - Aggregate Research App

– Investorside Independent Research Association - Aggregate Research App

– Asia IRP - Aggregate Research App

– FuturesTechs – Research Mobile

– World Gold Council – Research Mobile, Price Charting

– Renaissance Capital – Research Mobile

worldflow UK Hamilton House

1 Temple Avenue

London, EC4Y 0HA

+44 (0) 20 7489 2015

Justin Percival

Justin.Percival@worldflow.net

+44 (0) 7867 972799

Steve Jarrett

Steve.Jarrett@worldflow.net

+44 (0) 7710 123591

Contact Us

worldflow US 1501 7th Avenue

New York

NY 10009