GlobeOp Financial Services

GlobeOp Financial Services

GlobeOp Financial Services (LSE:GO.) is a leading independent provider of business process outsourcing, financial technology services and analytics to hedge funds and other sectors of the financial industry, including family wealth offices, insurance companies, pension funds, corporate treasuries, and private / regional banks.

TO BE CONFIDENT IS TO MOVE FORWARD WITH CERTAINTY AND PASSION

OUR GLOBAL MARKETS Hedge Funds Managed Accounts Fund of Funds Investors Family Wealth Offices Private / Regional Banks Insurance Companies Pension Funds Corporate Treasuries

At a Glance GlobeOp is a leading independent provider of business process outsourcing, financial technology services and analytics to hedge funds and other sectors of the financial industry. Established in 2000 Listed on the London Stock Exchange in 2007 2300+ employees 11 offices 3 continents Approximately 200 clients 1775+ total funds $187 bn AuA SOC 1 in accordance with SSAE No. 16 and ISAE 3402 Type II examination

GlobeOp TECHNOLOGY Technology Team: 300+ members, 150+ developers, all GlobeOp employees. Physical Infrastructure: Two wholly owned and operated data centers, configured in an active-active architecture. Network: Multiple telecom vendors, complete physical redundancy. Applications: Developed using Java language, no legacy applications. Information Security: Key priority, standards include the use of encryption and dual authentication. Client-Facing Applications: Web-based, no locally installed software required.

To be confident is to feel strong and positive about portfolio management, risk taking and asset raising. It is knowing you are supported by the most rigorous processes and controls, so you can focus on your business. It is possessing the transparency and governance so important to investors. Management Committee: Martin Veilleux, Hans Hufschmid, Vernon Barback, Andrea Dulberg, Ron Tannenbaum, Ira Rosenblum

Value Proposition Remarkable service in web-based technology, valuation control, risk reporting and analytics. Key StrenGTHS > Continuous innovation > Integrated service offering > Leading-edge technology > Investor focus > Independent, global platform > Complex products > People Processes Technology > Successfully completed SOC 1, in accordance with SSAE No. 16 and ISAE 3402 Type II examination

Complete suite of services Middle and Back-Office Fund Administration Investor Services Risk Services Valuation Control OTC Services Cash Management / Execution Services Managed Services

PRODUCTS AND SERVICES MIDDLE and BACK-OFFICE > Security master and static data processing derived from independent sources > Connectivity and provision of Order Management Systems (OMS) STP > Daily trade, cash balance, cash activity and position reconciliations > Settlement processing, affirmations, confirmations and fails management > OTC processing with confirmation and documentation > Data aggregation and pricing > Daily portfolio P&L reporting > Exposure calculations > Margin collateral corporate action support Fund Administration > Pricing and NAV > Fund valuation > Weekly / month-end accounting package > Fund performance reporting > Audit support > Financial statement and tax reporting Investor Services > Process investor transactions (subscriptions / redemptions) with money transfer and reconciliations > AML review and KYC document collection > Maintain official books and records > Investor communications (audits, DDQs, queries, reporting) > Customized reporting to fund managers and investors > Share registry Risk Services Integrated with MBO and Administration Services / Delivered to Managers and Investors GoRisk services > Position and exposure reporting > Customizable stress and scenario tests > Full suite of Value-at-Risk (VaR) methodologies > Calculations with flexible parameters > Supports UCITS III directive > Unique rules filter

VALUATION CONTROL > Multiple data and pricing vendors > Broad product coverage > Exception-based reporting > Independent asset valuation > Transparency for buy-side stakeholders > Complex instrument coverage > Development of valuation policies OTC SERVICES GoOTC TM processing Integrated or stand-alone package for OTC derivative trade processing: > Trade capture > Confirmation > Settlement > Reconciliation > Document and collateral management > Valuation and P&L reporting and risk data > Credit derivative auto-novation CASH MANAGEMENT / execution services* > GoMoney portal Cash management portal, daily cash projection reporting, single-source access > CurreneX services FX spots, forwards, swaps, metals, loans and deposits > MTS BondVision services European fixed income products, real-time indicative prices > ICE Link platform Trade date electronic affirmation of DTCC-eligible credit derivatives, real-time trade monitoring and notification MANAGED SERVICES** > Data center and hosted services > Platform as a Service (PaaS) > Specifically designed facilities > Advent Geneva hosting > Disaster recovery and business continuity facilities * For use by institutional investors only not for public distribution; GlobeOp Markets Limited Member FINRA and SIPC. ** To find out the scope of Managed Services available in your country, please contact your GlobeOp sales representative. 2012 GlobeOp Financial Services S.A. All rights reserved. GlobeOp and the GlobeOp G are trade and service marks of GlobeOp Financial Services LLC and its affiliates. Other names herein are the trade and / or service marks of their respective owners.

North america new YORK Office EUROPE London Office asia mumbai Office

USA Eamonn Greaves Global Head of Business Development 156 West 56th St., 6th Floor New York, NY 10019 USA Tel: +1 914 670 3612 Fax: +1 646 827 1850 Email: e.greaves@globeop.com Europe Ron Tannenbaum Managing Director 1-3 Strand London WC2N 5HR, UK Tel: +44 (0) 20 7190 6615 Fax: +44 (0) 20 7190 6601 Email: r.tannenbaum@globeop.com

www.globeop.com Dublin Grand Cayman Harrison Hartford London Mumbai New York City Yorktown Heights