Broadridge Solutions for Fund Administrators and Prime Brokers

Client 3: Reporting Only Client 4: Shadow NAV Broadridge offers an integrated set of client-facing and HFA software capabilities that equip fund administrators of all sizes with the tools to address the mission critical requirements of hedge fund clients. (Continued) Broadridge Solutions for Fund Administrators and Prime Brokers Attract new clients and retain existing ones while increasing revenue with enhanced product capabilities StAging trAdeS report Writer t&Cs t&Cs t&Cs CorAx / otC CorAx / otC rSL dAtA extrACt tooL CounterpArty reConCiLiAtion CorAx / otC Reports Only risk, performance & Attribution optional Managed Solutions Bloomberg reuters (real-time data) Markit WSo / Virtus Import Manager (All Clients) Client Facing Administrator and Prime Broker Solutions Security / Price Master (All Clients) Geneva (GL & Reporting) Report Manager / Distribution & Client Web Portal Data Sources (Risk Data, BBG, PBs, Shareholder Account Data, etc.) Regulatory Reporting Performance & Attribution Risk & Transperancy Reporting ‘40 Act & Traditional Asset Holdings Shareholder Accounting Information Mobility Analytics Master (Data Warehouse) Risk MasterCompliance Manager (Coming Soon) Reconciliation Manager & Service Credit Master Business Manager Operations Manager Revenue Management$ Analytics Master Client 1: OMS Only Portfolio Master OMS Only (Portfolio Risk Optional) Analytics Master oMS / eMS / direct Fix Access prime Broker / Counterparty Wipe and Load Client 2: OMS/PMS dAiLy reConCiLiAtion Portfolio Master OMS / PMS (Portfolio Risk Optional) Analytics Master (Historical Reporting) oMS / eMS / direct Fix Access prime Broker / Counterparty Persistent Positions (Shadowing) Credit Master AppLiCAtionS And utiLitieS © 2015 Broadridge Financial Solutions, Inc., Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions, Inc. Confidential Property of Broadridge Financial Solutions. Not for reprint or redistribution. Broadridge Delivers Front-, Middle-, and Back-Office Automation Our suite of products can help attract and retain clients, expand product offerings and capabilities, decrease errors and operational risk and provide you efficiencies and scale. Our solutions are designed to be delivered as an integrated offering for an Administrator or as point software to enhance the utility, efficiency and scalability of your offering. By providing integrated Broadridge tools to your clients, you can offer a comprehensive suite of front-, middle-, and back-office solutions. MKt_947_15 Americas 420 Lexington Avenue new york, ny 10170 +1 646 214 3777 EMEA 52 Cornhill, 3rd Floor London england eC3V 3pd +44 (0) 203 375 8010 Asia 5th Floor, ruttonjee Center 11 duddell Street, Central Hong Kong +852 3695 5128 Client-Facing Solutions Portfolio Master — Full asset class order, portfolio and risk management, along with firm-wide reporting. Provides all of the tools needed for firms to manage the full trade lifecycle in a single application — from order generation and real-time analysis to risk management and NAV reporting. Analytics Master — A comprehensive data aggregation, data reporting and data reconciliation tool that centralizes data from disparate systems into a single reporting tool for more timely and accurate reporting and multi- dimensional data mining. Managed Services and Hosting Revenue Management and Fee Billing — A premier revenue management and fee billing solution with over 90 of the industry’s leading asset managers. revport helps drive visibility and profitability through an automated process, allowing firms to realize up to 30% in efficiency gains and reduce fee leakage by 5-8% annually. Geneva Hosting — offers Advent’s geneva® clients a unique set of solutions that enhance Advent’s accounting platform. the solutions can be deployed on-site or via fully hosted ASp, and span a range of functionality including multi-asset class order management, reporting, reference data management, hosting requirements and the geneva upgrade process. Integrated Suite — order and portfolio Management, real-time p&L, reference data Management, pricing & Valuation, portfolio Accounting, Flexible reporting and Counterparty reconciliation. Portfolio Management and Reporting Portfolio Master — provides all the tools needed for firms to manage the full trade life cycle in a single application — from order generation and real time portfolio and p&L analysis to pre/post- trade compliance and integrated risk management. Risk Master — predictive risk analysis tool that allows firms to intelligently mitigate risk across an entire portfolio or at the trade level. Works for multiple asset classes and offers risk exposure control for both market and counterparty risk. Analytics Master — A comprehensive data aggregation, data reporting and data reconciliation tool that centralizes data from disparate systems into a single reporting tool for more timely and accurate reporting and multi-dimensional data mining. Credit Master — provides complete trading and operational support for bank debt processing including portfolio analysis, trade capture and workflow management, global transaction entry, settlement and closing, multi-currency and p&L reporting, cash management, compliance and document warehousing. Performance Reporting — Fully-integrated performance analytics including time Weighted returns (tWr) at asset, fund and intermediate levels. provides the flexibility to aggregate by country, currency, sector, strategy and includes irr at Fund and Fund group levels, with multiple time periods and benchmark comparison at fund level. Broad multi-asset class coverage. portfolio ratios and statistics include Alpha, Beta, Volatility, Correlation, r-Squared, Sharpe, Sortino, treynor, Jensen, information ratio and more. includes standard reports that can be combined with p&L, exposure and risk reporting for a complete portfolio view. Report Manager — A firm-wide reporting portal and mobile dashboard with extensive customizable reporting that can help drive better decision making across the enterprise. reporting features include an expansive library of portfolio, risk, operational and financial reports that can be presented as charts or data grids with full drill- down capabilities. includes the latest HtML5 web technology for viewing on desktop, ipad, Android or Windows tablets. Operations Management Business Manager — Automates the execution of processing jobs in well-defined sequences and allows business users to design workflows and exception processing which can then be scheduled to run automatically at pre-defined times. Import Manager — provides flexible loading of data into both Broadridge and third-party systems such as Advent’s geneva, including trades, prices, security terms and conditions and corporate actions. import Manager can accept data from a variety of sources, including flat files, xML, and SQL databases. Business users can create templates that define how data should be processed, translated and enriched so that it makes sense to the receiving system. Operations Manager — provides an infrastructure for Fund Administrators to monitor daily processing from a single dashboard. operations Manager is integrated with other Broadridge applications and can receive and display status updates and exceptions as Fund Administrators go about their daily processes — such as loading trade files from clients, pricing portfolios, processing corporate actions, and reconciling cash and stock — all the steps necessary to produce accurate nAVs across a high volume of portfolios. Reconciliations Manager — Matches, monitors, manages, enriches, progresses and stores transaction data through every stage of its lifecycle. reconciliations Manager is easy to implement and delivers the full range of reconciliation requirements — from integrated cash and securities reconciliations, positions, suspense accounts, mutual funds, nAV, through to generic, inter-system reconciliations — all with exception processing capabilities. Administrative Infrastructure Solutions Many of the products described below can also be used directly by your clients. Broadridge +1 888 725 2396 broadridge.com

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