GLOBAL WEALTHES

WEALTH MANAGEMENT SOLUTION ON A SINGLE

PLATFORM

Global Wealth Enterprise Solution (Global WealthES) supports the entire lifecycle of Wealth

Management. Deployed over private secured clouds, these solutions are highly scalable to

meet the requirements of institutional providers.

Global WealthES has flexible communications bus and can connect to DTC and major

custodians, Fidelity, Broadridge-Matrix, Pershing , SWIFT and file structures using

WebSphereMQ and BizTalk architecture.

PORTFOLIO MANAGEMENT Extensive functionality for

portfolio managers to

manage thousands of

accounts leveraging the

modeling capabilities and

other easy to use

functions like rebalancing,

alerts, positions

exchange, tax gain/loss

options, and reporting.

SOPHISTICATED COMPLIANCE ENGINE Compliance engine offers

multiple levels of alerts,

pre-trade and post- trade

notifications with varying

degrees of severity from

an alert to a trade freeze.

GLOBAL OPERATIONS: INTEGRATED PORTFOLIO ACCOUNTING AND SECURITIES PROCESSING Trade order management executes transactions directly to the

market thru FIX connectivity, and integration with custodians

for seamless settlement. The trades flow to the integrated

accounting and securities servicing modules for settlement,

asset servicing and reporting.

GLOBAL WEALTH ENTERPRISE SOLUTION

INVESTMENT PLANNING

Identify a client’s goals and objectives to customize financial solutions using various

quantitative tools and modeling functions to help achieve their objectives.

BUSINESS INTELLIGENCE Leveraging IBM Cognos platform, this tool can be used to access

systems data for extensive analysis and reporting targeted for senior executives.

GLOBAL WEALTHES FUNCTIONAL VIEW AN INTEGRATED WEALTH MANAGEMENT PLATFORM

Fi-Tek’s Global Wealth Enterprise Solution enables our clients to perform various functions in a highly productive straight thru processing environment and integrate with external ecosystems

Account Enrollment

Wealth Management

Analytics, Planning & Proposal

Generation

Investment Management

Automated Account Review

Operations

CRM, Reporting &

Client Internet Access

Business Intelligence

Wealth Management

• Strategic Asset Allocation

• Model Development

• Prospect Management

• Investment Planning (With Mobile

Application)

• Proposal Generation

Account

Administration

• Client

Onboarding

• Account Setup

& Environment

Wealth

Management

•Portfolio

Management

•Pre Trade

Analytics

•Rebalance

•Execution

•SMA/Model

Delivery Account

Administration

• Account Type

Management

• Contributions and

Distributions

• Tax Preparation

• Fee Processing and

Planning

Fiduciary Duties

• Compliance &

Regulatory

• Risk Management

Customer

Engagement

• Client

Reporting &

Statements

• Performance

• Mobile and

Web Access

• CRM

Strategy Development

• Business Intelligence & Analytics

• Top Client Identification

• Line of Business Trends

Operations

• Global Trust Accounting

• Securities Processing

• Corporate Actions

• Cash Management

• Tax Lot P&I Accounting

• Real Time Data Integration With

• Custody

• Internal & External Systems

• Multi Custodian

Administration

Global Wealth

ES

WEALTH MANAGEMENT ANALYTICS & INVESTMENT PLANNING Provides the Relationship Manager the ability to identify the Client’s and/or Prospect’s goals and objectives for relationship management, tracking, forecasting, planning and action

Plan Development Provides the Advisor the ability to identify the following for a Client or Prospect: All relationship accounts whether internal or external Specific holdings or asset categories of specific accounts Future contribution, distribution and life goals for planning purposes Identification of specific account goal payment allocation Current relationship asset allocation Map optimal asset allocation utilizing Monte Carlo analysis Identification of relationship goal achievement Client/Prospect reports

NEW MOBILE APPLICATION*

Now access the Investment Planning tool thru the mobile application.

INVESTMENT PLANNING Proposal Generation Provides the Advisor the ability to identify specific investment strategies for the Client or Prospect’s accounts: Identify the variance from current asset allocation versus the planned asset

allocation for the entire relationship Drill down to the specific accounts to identify specific assets and models to

be utilized to manage the accounts Import Investment Management actual models for automated account

allocation Manage from the account level assets to the entire relationship strategy Client/Prospect reports

Set-up: The Advisor has the ability to: Define asset growth scenarios Create and manage allocation models Import Investment Management actual models Identify the optimal frontier for model analysis and adjustment Create risk assessment questionnaire for client

ACCOUNT ENROLLMENT Global Wealth ES ’s Account Enrollment module simplifies the pre-acceptance phase of onboarding a new client, while ensuring strict adherence to compliance and regulatory requirements.

Enables capturing all know-your-customer and relevant information through easy to use and configurable forms

Provides for pre-defined fields to be completed prior to acceptance

Allows defining multi level workflow and approval process complete with tracking mechanism

Has a robust document upload, archival and retrieval mechanism to ensure smooth operation flow

Notes and ticklers can be attached to individual accounts to capture minute details

Seamless integration with Global Wealth - ES provides smooth data flow

Single source of reliable information on customer helps easy review and audit thus reducing data redundancy and operational risks

Confirm pre-acceptance items such as:

OFAC/FINCEN check

Trust Document Review

Asset origination

Unique Asset inclusion

Fee Assignment

Investment Authority

Management Capacity

Allows creating templates for different account types so that the entire process is expedited

FEATURES

INVESTMENT MANAGEMENT

Investment officers, account administrators and traders can

Access electronic order management for traded securities

Execute trades electronically or manually

Network of 400 executing brokers

Based on user defined parameters, accounts may be rebalanced manually or automatically against the models, benchmarks or other accounts.

Portfolio models and benchmarks can be created based on individual or group accounts.

Investment officers are provided with multiple portfolio views, including intra-day securities activities. Partial rebalancing of portfolios is also available.

Convert investment decisions into efficient and easily defined workflows such as

Full or partial liquidations

By account or asset

By value or units or percentages

Certified and integrated with Thomson Reuters TORE Network for intra-day trade execution, level II quotes, and intra-day charting where traders can observe and execute trades in reaction to market activity.

User-defined pre and post trade compliance rules alert appropriate parties to deviations from set objectives or investment policies to meet regulatory requirements, control risk, and monitor required workflows.

TRADE ORDER MANAGMENT PORTFOLIO REBALANCING and MODELING

BULK TRADING EFFICIENT MARKET EXECUTION

TRADE COMPLIANCE

INVESTMENT MANAGEMENT

View Positions and Investable

Resources in Real Time

Filter and Manage

Accounts with Custom Criteria

OPERATIONS: ACCOUNTING, SECURITIES PROCESSING AND ASSET SERVICING Global Wealth ES ’s integrated accounting engine is a full and comprehensive tax lot accounting platform, with multi-ledger capabilities, and supports a host of securities transactions and asset classes. It has built-in maker-checkers for control purposes, and has a production schedule for automated processing. Users gain continuity and data integrity across applications and can leverage straight through processing.

FEATURES INCLUDE:

Global securities processing and Multi-currency

Trade Dashboard for automated confirm/affirm and trade processing and settlement

STP of Domestic Trades, Confirm, SWIFT/XML and Manual Trades

Global Window Setup for integration to global custodians

STP off trades using SWIFT/XML

Global Multi-Currency Reports

Corporate Action Event setup – complete workflow

Corporate Action - 31 new Corporate Action Events

Corporate Action Notification Letters

Transaction Advices - allow all transactions

Transaction Advices in various formats

Unlimited User-defined Codes

Unit Fees

Scheduled Income Fees

Fees Charged to DDA

Different Sweeps for Multiple Portfolios

Sweep to DDA

GL workflow

Extracts for various functions and processes

Web Services

Interfaces with Pershing

Interfaces with FiServ

Interface with Broadridge for Prospectus

12B-1Sub-TA Fees

Account Level Restrictions

Fees in Automated Production Scheduler

Customized Account Field Restriction

Backup Withholding Setup & Processing

NRA Withholding Setup & Processing

FDIC Modernization

FDIC Collateralization

Reporting setups and enhancements (over 100)

Support for multiple Suspense Accounts

Automated Wash Sales processing

Mapping of Accounts to multiple Interfaces

PERFORMANCE MEASUREMENT Global Wealth - ES ’s Performance Reporting calculates a time-weighted rate of return on a monthly, quarterly, semi-annual and annual basis. Users can track performance back to the inception of each account. Reports are available both in Report Manager and Statement Package.

With the performance engine completely integrated with the accounting engine’s books and records, users can eliminate the data transfer and interface issues related to a third party engine. Reports are available both in Report Manager and Statement Package.

Users have the ability to benchmark performance against one index or multiple indices and create individualized composite indices. Indices can also be blended to benchmark against a composition of various indices.

Performance can now be calculated daily. This capability allows for more detailed management of accounts on a daily basis versus monthly.

ELIMINATE DATA TRANSFER ISSUES

BENCHMARK PERFORMANCE

DAILY PERFORMANCE

COMPLIANCE & AUTOMATED ACCOUNT REVIEW Review brief

snapshots with break down of each account’s holdings by asset class

Identify any variance from the investment objective and model portfolio

Drill-down into holdings to review specifics

View transactions Open tax lots

When an account is due for review, each user assigned to the account receives a notification. Clearly defined, easy-to-follow steps walk users through the entire review. If specific requirements are not met, the review will not be allowed to continue.

A full set of reports with detailed information and analysis helps monitor the progress of each review. The review process is customized to your organization and includes: Reports Breaches Questions Layout

EMAIL NOTIFICATIONS

MANAGEMENT OVERSIGHT AND CUSTOMIZATION OF REPORTS

DECISION TOOLS – DASHBOARDS & WIDGETS

Global Wealth - ES ’s new dashboard technology enables front and middle office users to easily access key information needed to run its business. The configurable dashboard can be set up to be a decision and monitoring tool for managing the business.

This feature enables the user to configure the dashboard with a list of widgets currently published in Global Wealth - ES . These widgets can be selected and dropped in the dashboard.

The widgets are continuously updated with current information from various functional areas in Global Wealth - ES and will provide users with actionable items based on set up criteria.

Cash – The account has more or less cash than what was set up as a rule Compliance – The account has a compliance breach

Consolidated widgets Reports widgets Investment management widgets

There are various functional widgets, the following are a few examples:

These can be configured to provide user with information or new widgets can be developed upon request.

WIDGET MANAGEMENT

WIDGET DATA

FUNCTIONAL WIDGETS

REPORTING & STATEMENTS Global Wealth - ES has extensive reporting and statement generation capabilities. The reporting tool allows users to choose from more than 150 easy-to-read report templates or create custom ad-hoc reports. Scheduled reports can run on a regular basis and users can receive daily summary reports via e-mail/printed overnight. Reports include Trade Date Reporting, Settlement Date Reporting, Accrual Reporting, EBR Reporting, ASB Reporting and 22c2 Reporting. In addition, the statement generating engine provides automated month-end statements production.

Access to more than 20 ready to-use standard reports, including: Portfolio holdings Top holdings Investment reviews Cash activity Purchase and sale Trade blotters “What If” reporting

Users can compare and analysis reports against models or benchmarks.

An intuitive ad hoc report writer and query builder allows users to create and save custom queries, apply filters and set groupings and sorts. Reports display in an easy-to-read, tabular style and can be downloaded in Word, PDF, and Excel or text format Extracts can be created in various formats to interface with other applications.

INVESTMENT MANAGEMENT REPORTING

AD HOC CUSTOM REPORTS & EXTRACTS

CLIENT INTERNET ACCESS

Global Wealth - ES ’s Client Internet Access provides preformatted, easy-to-read reports in graphical and tabular formats. The application can be customized with your corporate color scheme and logo and accessible from your website. Your clients can check daily activity online, quickly and securely. Reports include: Portfolio Summary Investment Holdings Transactions Taxlots Pending Trades

Save time and money by sending client statements electronically. In addition, other documents such as announcements and marketing materials can be uploaded and distributed.

Audit trail shows activity log by user.

Clients with multiple accounts, can create consolidated accounts and view them in any preformatted report style.

STATEMENT AND DOCUMENT DISTRIBUTION

ACCOUNT CONSOLIDATION

AUDIT TRAIL

MOBILE APPLICATION

Ability to view reports and data on a mobile device in a highly secured environment. View specific Account information

including portfolio summary, top holdings, comparison to model or objective

Drop down for compare against investment target changes allocation model graphs

Performance tab goes to performance tab for current profile, new allocation and objective index

BUSINESS INTELLIGENCE Get a complete understanding of your clients business successes and weaknesses in order to optimize solutions in the marketplace. Receive insights into the business landscape through trends and pattern analysis. Not only does this tool help manage operational costs and mitigate risks, but it also increases customer engagement with customized offerings.

Entire data integration for analysis

Revenue trends

Compliance

Customer analysis

Manager analysis

Top client information

Keep track of your most valuable clients and performance of their accounts. Analyze assets and revenue for different relationship types, trends based on investment objectives, or the impact of loss due to account closure.

Fee analysis by officers to identify people in the organization who are leading growth or fee analysis based on different parameters help identify segments contributing to growth.

Monitor the performance of your officers or compare performance of your officers for specific Investment Objectives. Analyze trends over years and across quarters, or slice and dice information based on different business parameters.

Business Intelligence tool is the next step for professionals to manage their clients by seeing the entire picture in one place. Drill down capabilities allow you to view specific data from the overall charts and graphs already provided.

CONTACT ANALYSIS

REVENUE ANALYSIS

INVESTMENT ANALYSIS