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1 Analytics FINCAD OTAS Data Bloomberg B Pipe Bloomberg Data License Bloomberg Desktop API Bloomberg Server API The Yield Book Inc. Charles River Data Service Reference Charles River Data Service Real Time Charles River Data Service Benchmarks Equity Algo Trading Abel/Noser Aqua Securities, L.P Auerbach Grayson Barclay s Capital BestEx BMO Nesbitt Burns BNP Paribas BTIG, LLC Canaccord Capital Cantor Fitzgerald & Co. CIBC World Markets CIMB Securities (Singapore) Pte Ltd Citadel Securities Citigroup Clearpool, Group CLSA Limited Commonwealth Securities, Ltd ConvergEx Execution Solutions Cowen & Company, LLC. Daiwa Capital Securities Markets Co. Ltd Dash Financial Deutsche Bank DnB NOR Bank ASA Drexel DZ Bank Exane Execution Ltd Fidelity Capital Markets FOX River Execution Guggenheim Securities LLC Haitong International Information Systems Limited HSBC Instinet ISI Group ITG Inc. Jefferies & Company JP Morgan Keybanc Kepler Cheuvreux Knight Securities Leerink Swann & Co. Lek Securities Corporation Liquidnet Macquarie Securities Maybank KimEng Securities Pte Ltd Mizuho Securities MKM Holdings MND Partners Inc. Morgans Financial National Bank Financial Inc. Nomura Securities Piper Jaffray Raymond James Royal Bank of Canada Royal Bank of Scotland Redburn Partners LLP R.W. Baird Sanford Bernstein SMBC Nikko Securities 1
2 Equity Algo Trading (cont d) Stifel Nicolaus The Bank of Nova Scotia Virtu Financial Capital Markets LLC Wallach Beth Weeden & Co, Inc. Wells Fargo Equity Crossing Networks Direct Integration: AQUA ATS BIDS Trading Blockcross Integration via Broker Algorithms: Citibank Liquifi, CitiMatch (Citigroup) Cross Finder, CrossFinder+ () Instinet Chi X (Instinet) Knight Match, KM+ (Knight) ITG Posit Liquidnet Luminex Trading and Analytics LLC MS Pool () PIN () Turquoise SigmaX () Foreign Exchange Trading FX Algo BNP Paribas Multi Bank Portals 360T FX All Direct Bank Execution Barclays PLC Citigroup Deutsche Bank JP Morgan FX Connect Skandinaviska Enskilda Banken Derivatives Trading Derivatives Algorithms Citigroup Deutsche Bank DZ Bank Instinet Knight Capital Markets Quantitative Brokers 2
3 Futures Direct Execution Banca IMI S.p.A Barclays Capital Inc. Bayerische Hypo und Vereinsbank AG BGC Financial, L.P. Bloomberg Tradebook LLC BNP Paribas Arbitrage SNC Citigroup Global Markets, Inc. Coex Partners LLP Securities (USA) LLC Danske Bank Deutsche Bank AG ED&F Man Capital Markets Limited Exane SA HSBC Securities Inc. Itau BBA USA Securities, Inc. Options Direct Execution Barclays Capital Inc. Bayerische Hypo und Vereinsbank AG BGC Financial, L.P. Bloomberg Tradebook LLC BMO Nesbitt Burns BNP Paribas Securities Corp. BTIG, LLC Cantor Fitzgerald & Co. CIBC World Markets Corp Citigroup Global Markets, Inc. Cowen & Company, LLC. Securities (USA) LLC Deutsche Bank AG Australia Svcs Pty Ltd Hapoalim Securities USA, Inc. HSBC Securities (USA) Inc. Instinet Interactive Brokers LLC ITG, Inc. Itau BBA USA Securities, Inc Jefferies & Company Knight Trading RFQ hub Macquarie Capital Securities Ltd Marex Financial Limited ("Marex Spectron") Mediobanca Banca di Credito Finanziario SPA & Co. LLC Newedge Group S.A. Nomura International PLC Nordea Bank AB RBC Capital Markets, LLC Skandinaviska Enskilda Banken Svenska Handelsbanken AB Securities LLC Wells Fargo Securities, LLC Wedbush Securities Inc. Macquarie Capital Securities Ltd Macro Risk Advisors LLC Mediobanca Banca di Credito Finanziario SPA Merrill Lynch, Pierce, Fenner & Smith Inc. MKM Partners & Co. LLC National Bank Financial Inc. Newedge Group S.A. Nomura International PLC Nomura Securities International, Inc. Nordea Bank AB Oppenheimer & Co. Inc. OTR Global Trading LLC Patersons Securities Limited Raymond James RBC, The Royal Bank of Canada Sanford C. Bernstein & Co., LLC Sea Port Group Securities Stifel Financial Corp. Susquehanna Financial Group LLLP Securities LLC Wells Fargo Securities Wolverine Execution Services 3
4 Fixed Income Trading Crossing Market Axess MTS BondVision MultiDealer Platforms Bloomberg Market Axess MiFID II Approved Reporting Mechanism (ARM) TRAX Approved Publication Arrangement (APA) TradeEcho Post Trade FIX Allocation Brokers ABG Sundal Collier Auerbach Grayson Banca Generali SpA Banca IMI S.p.A Barclays Capital Inc. Bayerische Hypo und Vereinsbank AG BGC Financial, L.P. Bloomberg Tradebook LLC BMO Nesbitt Burns BNP Paribas Securities Corp. CAIC Credit Agricole Cheuvreux Canaccord Financial Ltd. Canaccord Genuity Limited Cantor Fitzgerald & Company Capital One Southcoast Inc Ceros Financial Services Inc. Charles Schwab & Company CIBC World Markets Corp CIMB Securities (Singapore) Pte Ltd Citigroup Global Markets,Inc. Collins Stewart Limited Cooperative Centrale Raiffeisen Boerenleenbank Cowen & Company, LLC. Securities (USA) LLC Deutsche Bank AG Desjardins Securities Exane SA Tradeweb YieldBroker Tradeweb UnaVista TRAX Execution Noble Limited Fidelity Capital Flow Traders B.V. Australia Svcs Pty Ltd Helvea SA HSBC Securities (USA) Inc. Instinet Group, LLC Investec Bank (UK), Ltd. ISI Group ITG, Inc. Jefferies & Company Jones Trading Institutional Svcs LLC Keefe, Bruyette & Woods, Inc. Kepler Capital Markets KCG Holdings, Inc. Leerink Swann & Company Liberium Capital Limited Loop Capital Macquarie Capital Securities Ltd Macro Risk Advisors LLC Miller Tabak & Co., LLC & Co. LLC National Bank Financial Newedge Group S.A. Nomura International PLC Nomura Securities International, Inc. Oppenheimer & Co. Inc. 4
5 Post Trade FIX Allocation Brokers (cont d) OTR Global Trading LLC Pacific Crest Penserra Securities LLC Pershing LLC Peters and Co. Pictet Overseas Inc Sanford C. Bernstein & Co., LLC Simmons & Company, Inc. State Street Global Markets Stifel, Nicolaus & Company, Inc. Strategas Securities LLC Susquehanna Financial Group LLLP TD Ameritrade Piper Jaffray & Co (US) Pollitt & Co Raymond James Ltd RBC, The Royal Bank of Canada Redburn Partners LLP Robert W Baird & Co. TD Securities Inc. Securities LLC Weeden & Co. LP Wells Fargo Securities, LLC William Blair & Company Winterflood Securities Post Trade Systems Charles River supplies standard file formats (flat files or XML) as well as a library of exports formats and these additional interfaces: DTCC Deriv/SERV FICC/Fixed Income Clearing Corporation (MBS Electronic Pool Notification) FIX 4.2/4.4 allocations (TradeWeb, MarketAxess, FX venues, equity brokers) ISO MarkitSERV Omgeo CTM Omgeo OASYS/TradeMatch Omgeo OASYS Omgeo TradeSuite Prime Brokers Transaction Cost Analysis Pre Trade Barclays Post Trade ITG Markit (QSG) 5
6 Value Based Trading Calastone Transaction Services 34 countries Transfer Agents (Fund Providers) DST (55) Northern Trust (52) Capita (46) RBC (37) State Street (34) BNY Mellon(32) HSBC (31) Self TA (26) BBH (21) Maitland (18) Citibank (15) DZ Private Bank (15) BNP Paribas (13) Fund Partner Solutions (12) T Bailey (11) JPM (10) SEI (8) European Fund Administration (6) Maples (4) Allianz Lux (3) Valu Trac (3) FNZ (3) Others (19) About Charles River Charles River provides an end to end solution to automate front and middle office investment management functions across asset classes on a single platform. Delivered as a hosted service, the solution offers a simplified operating model that improves data quality and investment professional productivity, controls risk and lowers technology costs. Charles River serves more than 350 investment firms in over 40 countries in the institutional asset and fund management, private wealth, alternative investments, insurance, banking, and pension markets. While the information in this document is presented as planned or projected, Charles River Development reserves the right to change plans, priorities and future enhancements at any time without notice. October
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