Confisio Regulatory Reporting Solution

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Trade Reporting – Fully Featured End to End Solution

•  Vendor Relationships •  Contractual Agreements •  Single Point of Contact •  Automation •  Reconciliation

•  Matching and Reconciliation •  UTI Management •  Entity/Symbology Mapping •  TR Connectivity

•  Cross Asset Class Support •  Trade Pairing •  Inter TR Reconciliation •  Regulatory Compliance (EMIR/MiFID/REMIT)

•  Valuation •  EMIR Compliant •  Various Methodologies

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Automated Solution Diagram

Trade Repository Customer

Traiana

Dion

Trading Platform

CRM

Legacy Systems

Central Database

CCP

Trading Repository

ARM

RRM

Confisio Reporting Solution

Report Generation

Data Mapping

Data Fetching

Data Validation

Controls Notifications

Reconciliation

G.U.I G.U.I

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Confisio - Traiana - DION - Trade Repository

Trade Repository •  TR Services •  Transaction Reports get

consumed, validated, submitted to the TR

•  Valuation Reports •  Collateral Reports •  MiFID Reporting •  REMIT Reporting •  MiFiD II Reporting •  FinReg

Traiana •  Data Enrichment •  UTI Generation •  Data Validation •  Pre-matching •  Reconciliation •  Exception Management •  UTI Sharing •  Controls

Confisio •  Data Validation •  Report Generation

Automation •  Report Submission

Automation •  Download status

messages •  Controls to manage

reporting activity •  Instrument Identification

For EMIR Reporting •  Data Mapping from

Platform to Reports

Confisio Traiana Trade Repository

Dion •  Valuations •  Mark to Market •  Mark to Model

Dion

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Mark to Market Valuations

Valuation Service •  EOD Mark to Market Pricing •  Automated Solution within Harmony Platform

•  ETDs and OTC derivatives •  Independent relation engine •  Comprehensive documentation

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Reconciliation

•  A Reconciliation Process, a set of Data Integrity Validation Rules, will be performed on a monthly basis on a sample of the data reported from the client to the Reporting Repository, the sample % will vary from client to client and will be based on the number of transactions monthly submitted, in order to verify the applicability and the appropriateness of the transactions reported hence identify and/or eliminate misreporting.

Client Data TR

Reconciliation

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Automation Summary

•  The utility is connected to the underlying database of the Customer system(s), and at a predefined time once per day is automatically extracting the required be reported transactions and creates the related files as per Traiana templates.

•  Following the creation of the file and prior submitting to Traiana and/or DionGlobal, a number of Data Integrity Validation (DIV) checks are performed between the source (Original Data) and the target (files created) to ensure the integrity and completeness of the data that will be reported. These checks include but not limited to number of records comparisons, value sums comparisons etc. If the checks failed then the process stops and a notification email is triggered to the appropriate resources for actions. Customer and Confisio. An email notification is also sent if the check successfully performed, to Customer and Confisio.

•  If the checks successfully passed, then the files are securely transferred via sFTP to Traiana Harmony and, if applicable to DionGlobal. Notification emails are triggered both for successful and unsuccessful submissions. To close the loop, transactions from Trade Repository are downloaded on a monthly basis and compared/reconciled to the transactions reported by the company to ensure completeness.