Round 1: The RegTech Markets editorial team will then assess that:

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1 Q: What is the RegTech Markets Directry? The first market-wide directry f RegTech slutin prviders: curated, structured and researched The g-t reference library fr Regulated Firms, RegTech cmpanies and Investrs Divided int functinal categries: helping t match prblem t slutin; cmparing prviders; lcating the white space ; measuring market maturity; and identifying pprtunities Firms can als take part in ur Sptlight Awards submitting their slutin fr analysis and review by a panel f industry experts, wh will invite the best prviders in each categry t participate in a virtual Dem Week The directry will be refreshed annually Q: Hw will the RegTech Markets Directry wrk? Submissin: Slutin prviders will be invited t prvide infrmatin abut their prducts via a self-service questinnaire, prviding a base level f infrmatin. RegTech slutin prviders will self-select the mst suitable categry fr their ffering (e.g. Financial Crime, Regulatry Intelligence). Rund 1: The RegTech Markets editrial team will then assess that: The slutin prvider has cmpleted the questinnaire with enugh infrmatin t be featured The slutin prvider/prduct has been assigned int the crrect categry The slutin prvider/prduct shuld feature in the directry Nte: All cmpanies that pass this first assessment will feature in the final published directry Rund 2: An industry panel f experts RegTech Markets cmmunity members will then scre each cmpany that has put itself frward fr the The Sptlight Awards : Have the cmpany clearly and accurately described the prblems they slve? Have the cmpany clearly and accurately described their slutin and hw it wrks? Are the benefits f this slutin clear (including ROI)? Hw accurate, useful and credible is the supprting evidence prvided? The tp 8 cmpanies by scre will be selected frm each categry t prgress t the next rund. Rund 3: Offerings selected fr this rund will be invited thrugh t a (virtual) Dem Day Each cmpany will pitch/dem fr 10 minutes t an industry panel f experts. One prduct frm each categry will receive the Best-in-Categry Sptlight award

2 Q: What are the categries? The categries are; Categry: Financial crime A descriptin f this categry includes cmpanies slving the fllwing prblems: Mney laundering disguising the identity f illegally-btained prceeds Fraud intentinal deceptin f a persn r entity by anther, fr mnetary gain Terrrist financing Bribery and crruptin Market abuse and insider dealing market manipulatin Cmpanies in this categry typically wrk n; Transactin mnitring Glbal search engines - data analysis and research AML risk assessment slutins client risk rating Enhanced Due Diligence / Custmer Due Diligence Data identity and verificatin (can verlap with the Glbal search engines) Sanctins and PEPs & List Management Onbarding autmatin & KYC Management Case management (wrkflw systems) Categry: Regulatry Reprting A descriptin f this categry includes cmpanies slving the fllwing prblems: Regulatry reprting cmprises, amng ther things, the IFRS-based financial reprting templates fr supervisry purpses (knwn as FINREP ) Capital requirements and wn funds reprting templates (knwn as COREP ), based n the new EU framewrk fr banking regulatin under the Capital Requirements Regulatin and Capital Requirements Directive (CRR/CRD IV) The aim is t prvide supervisrs with all relevant infrmatin n financial institutins risk expsures, as well as their capital and liquidity psitins Cmpanies in this categry typically wrk n; Regulatry reprting & risk management slutins Trade reprting repsitries Fund structure and reprting slutins Categry: Market Integrity and Transparency A descriptin f this categry includes cmpanies slving the fllwing prblems:

3 The preventin and investigatin f abusive, manipulative r illegal trading practices in the securities markets. Market surveillance helps t ensure rderly markets, where buyers and sellers are willing t participate because they feel cnfident in the fairness and accuracy f transactins Cmplying with the additinal transparency and best executin requirements f MIFID II Cmpanies in this categry typically wrk n; Hlistic surveillance ver multiple data surces including trade and rder data, electrnic and vice cmmunicatins, and behaviural data in rder t identify ptential market abuse and miscnduct. Niche players wh specialise in sptting market abuse in specific data types (e.g. phne calls, messaging systems, bitcin) Cmpanies that are Analytics sftware cmpanies which specialist knwledge f the data structures in financial markets. Cllecting large crpuses f data t wrk n histric based investigatins (ften knwn as e-discvery) Categry: Regulatry Intelligence/Regulatry Change/GRC Framewrks A descriptin f this categry includes cmpanies slving the fllwing prblems: Tracking frequent updates generated by the dynamic regulatry landscape (i.e. Gvernment Plicy, Law, Regulatry Cnsultatins and general RegTech news) as well as interpreting and explaining changes/refrms Mnitring legal recrds and laws fr changes Prviding tls t assist with an effective risk management apprach helping t achieve a strng understanding f the cmplex and changing regulatry envirnment and the deplyment f that knwledge t the right peple, enabling the right decisins at all levels f the rganizatin Cmpanies in this categry typically wrk n; Hrizn scanning Regulatry interpretatin and creatin f taxnmies Assessment f impact n business prducts f the regulatry change landscape GRC Framewrks is a fairly pen term fr cmpanies achieving high standards in all three verlapping (GRC) categries. Slutins culd be frm a single cmpanies r a number f RegTech cmpanies used in cnjunctin t prvide this framewrk. Categry: Cyber/data Privacy/Identity A descriptin f this categry includes cmpanies slving the fllwing prblems: Encmpasses measures taken t keep electrnic infrmatin private and safe frm damage r theft Making sure these devices string r underlying data is nt misused

4 In rder t be effective, privacy measures must cnstantly adjust t new technlgies and develpments and therefre the RegTech cmpanies prviding privacy slutins must cnstantly adapt t new situatins Cmpanies in this categry typically wrk n; Ensuring data privacy Prtecting regulatry, identity and custmer data against cyber attacks Ensuring crrect wnership f identities Categry: Regulatry risk analytics and calculatins A descriptin f this categry includes cmpanies slving the fllwing prblems: Perfrming cmplex risk calculatins fr regulatry requirements such as Basel III, AIFMD FRTB, Slvency II, & UCITS IV Scenaris and simulatins fr pricing / capital allcatin / stress testing Auditability and transparency f algrithms used fr bth trading and risk management Cmpanies in this categry typically wrk n; Perfrming calculatins and simulatins that require large amunts f cmputing pwer Creating regulatry cmpliant risk mdels and calculatrs Categry: Regulatry data and infrmatin management A descriptin f this categry includes cmpanies slving the fllwing prblems: Managing risk and regulatry data t satisfy the requirements f BCBS 239 fr data aggregatin and harmnizatin and ther regulatry requirements such as reprting r stress testing Autmatin f prductin f key regulatry infrmatin requirements such as KIDs fr packaged retail and insurance-based investment prducts Reprting fr PRIPS/KIDS Cmpanies in this categry typically wrk n; Aggregatin f data frm disparate surces Prcess autmatin such as autmatin f data recnciliatins Lineage and quality f data

5 Q: Wh sets the Categries and Scring? The initial set f categries have been set by RegTech Markets Directry editrial team Hwever categrisatin and taxnmies are ntriusly difficult t get right A RegTech Markets Directry steering cmmittee is being set up, including senir members f the expert panels The rle f the steering cmmittee is t: Help prmte the initiative Review/validate categries Review scring methdlgies Be independent bservers verseeing the entire prcess Q: What is the timing? Apprximate dates/phases and time cmmitments are: Preparatin: nw until August 7th Submissin: August 7th until Tuesday 25 th August Assessment: 28 th August until 1 st September Judge's Analysis & Review Prcess: Expert reviews data sent ut fr backgrund reading: 28 th August Expert reviews Rund 1: Start 4 th September until 8 th September 2/3-hur cmmitment Expert reviews Rund 2: Start 18 th September until 23 rd September - RegTech Markets Directry virtual dem day / week 4-hur cmmitment Awards Ceremny & Publicatin: w/c 16 th Octber (ptinal 3-hur event) Q: When d the Steering cmmittee meet? Here are the key dates fr the RegTech Markets Directry Steering cmmittee Advisry bard meeting 1: 2pm (UK) - Friday 18th August 60 minute cmmitment Advisry bard meeting 2: 2pm (UK) - Friday 1 st September 60 minute cmmitment Advisry bard meeting 3 : 2pm (UK) - Friday 15 th September 60 minute cmmitment Advisry bard meeting 4 : 2pm (UK) - Friday 29 th September 60 minute cmmitment Awards Ceremny & Publicatin: w/c 16 th Octber (ptinal 3-hur event)