ADVANTAGE: YOU

OPERATIONS & COMPLIANCEWORKSHOPS Presented byBLOOMBERG AIM

2–3 February, 2015Bloomberg L.P.L27 Cheung Kong Centre2 Queen’s Road CentralHong Kong

8:30Introduction and Continental Breakfast CKC-27-AUDIT

9:00Track Sessions We are pleased to present two tracks:

Administrator & OperationsSelect this entire track if you’re an AIM System Administrator, Operationsor pick a specific topic and then change tracks.

Compliance Concentration Select this entire track if you are a ‘Compliance officer’… or pick a specific topic and then change tracks.

See next page for more details

12:00Lunch - Overlap SesssionCKC-27-AUDIT

12:45Track Sessions See next page for more details

AGENDA – DAY 1

9:00 // CKC-26-MPRSession 1: Database Infrastructure & latest RMON rolloutsHow can you keep track of what’s going on in your AIM database? Using the AIM System Administrator’s homepage (FIRM), learn how to build and maintain your firm’s database infrastructure, check & change systemwide defaults; understand how to permission and control users accessing from outside the office. Tracking the changes and enhancements through RMON, getting readyfor the new market.

10:30Break

10:45 // CKC-26-MPRSession 2: Compliance LightWho doesn’t love compliance? You may not be a compliance officer but need to know the basics. In this session, see a quick review of rule creation, defaultsettings and compliance support. This is a broad overview.

12:45 // CKC-26-MPRTrading Workflows and Tools // Session 3: TradingI’ve generated orders, now what? Picking up where Position Management leaves off, learn how to take orders generated by PMs, or create orders yourself, and route them out to a variety of execution platforms based on asset class or security type. Get tips on how to organize your blotters to maximize your workflow and take advantage of AIM's ability to leverage core Bloombergdata to provide additional security analysis without ever leaving the execution blotter. We will cover 3 distinct workflows; equities, fixed income and FX.

» 12:45 // Equity Trading Latest enhancements on EMSX

» 13:30 // Fixed Income Trading Fixed Income Trading – Electronic, Voice or Leave orders? How the different markets are using the different workflow

» 15:00 // Break

» 14:15 // FX Trading

15:15 // CKC-26-MPRMiddle Office (Matching Tools) Broker setups, settlement ID setups are one time efforts. Then find out how operations teams use the AIM hub to match and settle across a number of facilities and sign-off on trades—all in one place, one function.

ADMINISTRATOR & OPERATIONS TRACK (Day 1)

Latest enhancements on AIM-FXGO

9:00 // CKC-27-TRAIN BIntroductions & Program GoalsHave a chance to meet your peers in the compliance industry & get to know the Bloomberg AIM Compliance Specialist team.

9:15 // CKC-27-TRAIN BSession A: Bloomberg Search FunctionsYour Bloomberg terminal is a powerful search engine with a wealth of information. Learn how to screen for Equity securities, filter for specific Bond instruments as well as understand the data that drives Bloomberg’s security master. This session is a must for anyone implementing Compliance guidelines in CMGR.

10:15Break

10:30 // CKC-27-TRAIN BSession B: Compliance InfrastructureThis session will set out best practices for Compliance set up including Rule Group set up. We will cover access to the Compliance module, CMGR and violation manager blotter, VMGR.

11:00 // CKC-27-TRAIN BSession C: Related Compliance Applications

14:00Break

14:15 // CKC-27-TRAIN BSession E: Rule CreationUnderstand the rule templates that make it all work. Understand how to select the right template. Know the seven steps for building a rule… and find out about the most important ‘hidden’ eighth step and ninth steps… Thisis not for the light-hearted ‘max 10% to an issuer’ rulegoers. Go for your personal record and use this as a spring board to become an expert in AIM compliance.

COMPLIANCE CONCENTRATION TRACK (Day 1)

12:45 // CKC-27-TRAIN BSession D: Related Compliance Applications 2

8:30Introduction andContinental Breakfast CKC-27-AUDIT

9:00Track Sessions We are pleased to present two tracks:

Administrator & BTMSelect this entire track if you’re an AIM Administrator, Operations or interested in a particular AIM add-on Solution (other than compliance)… or pick a specific topic and then change tracks.

Compliance ConcentrationSelect this entire track if you:

a) couldn’t get enough of this track day 1or

b) … are way past the basics of compliance and are ready for the some serious compliance orPick a specific topic and then change tracks.

See next page for more details

12:15Lunch - Overlap Session CKC-27-AUDIT

13:45Break

16:00 Evening ReceptionCKC-27-AUDIT

AGENDA – DAY 2

9:00 // CKC-26-MPRSession 1: Tips and Tricks from Bloomberg AIM SpecialistGain insight from Bloomberg experts on areas that will simply make your life easier on AIM.

10:00Break

10:15 // CKC-26-MPRSession 2: Integration, Feeds & Data FlowAre you a feeds expert? Whether you are or not, we have something for everyone. Learn how to troubleshoot by following the trade’s journey through AIM & beyond and join our feeds expert for a discussion of the new tools for feeds setup & scheduling, the new feeds data policy, migrating to the latest version of Gateway, our web portal for issues management and what it means to be an Integration client.

14:00 // CKC-26-MPRDevelopment Discussion with our Business Manager

ADMINISTRATOR & OPERATIONS TRACK (Day 2)

13:00 // CKC-26-MPRBasic to Advanced Reporting – Overlap SessionCan I schedule that report? While not as robust as our enterprise reporting solution, there are a variety of ways to report or output your data from AIM. Join us for this session where we will explore the options for reporting using a variety of functions as our starting point; everything from PTSR, FWP, BDS & MAV (all basic) & DART (advanced), both robust.

Whether you’re a Compliance Officer, Operations Professional, Portfolio Manager or Technology- Reporting is fundamental. Learn quickly about the possibilities to store, capture and produce the data readily for your clients, your firm or yourself.

13:45Break

9:00 // CKC-27-TRAIN BRule Creation Workshop Part 1

11:00Break

11:15 // CKC-27-TRAIN BRule Creation Workshop Part 2

14:00 // CKC-27-TRAIN B Monitoring the Business

14:45 // CKC-27-TRAIN B Exam

COMPLIANCE CONCENTRATION TRACK (Day 2)

13:00 // CKC-26-MPRBasic to Advanced Reporting – Overlap SessionCan I schedule that report? While not as robust as our enterprise reporting solution, there are a variety of ways to report or output your data from AIM. Join us for this session where we will explore the options for reporting using a variety of functions as our starting point; everything from PTSR, FWP, BDS & MAV (all basic) & DART (advanced), both robust.

Whether you’re a Compliance Officer, Operations Professional, Portfolio Manager or Technology- Reporting is fundamental. Learn quickly about the possibilities to store, capture and produce the data readily for your clients, your firm or yourself.

13:45Break