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1 Delivering Exceptional Performance in Investment Management

2 Our Investment Management business model focuses on five main areas of service delivery consultancy Investment System Evaluation & Selection Business Analysis Project Management Operational Risk IT Governance

3 Results Matter Achieving exceptional performance in Investment Consultancy takes dedication, drive and commitment and requires the tools and solutions to turn vision into reality. At STC & Co we deliver that drive, commitment and tools to our clients so that they have the edge they need to be winners.

4 The Heart of Our Clients Business Our focus is on client satisfaction. STC will help you, as clients, to achieve maximum benefit and value with minimum disruption, time and risk. STC promotes a collaborative open working style and when we finish an assignment, we endeavour to ensure that the transition to business as usual is complete and smooth. A Consultative Approach STC seeks to position with our clients rather than just do a job. STC goes beyond simply delivering and looks to build a lasting professional relationship based on trust and dependability. STC employs the highest standards and our approach allows us to engage and put our clients at the centre of our thinking. Whatever we do, our goal is to give our clients a genuine performance edge. Nothing less will do.

5 Investment Management Consultancy Our Business Model allows us to provide broad functional expertise in operations and technology required to support the most challenging Front, Middle and Back Office business processes. STC provides consulting and experience across the Front, Middle and Back Office spectrum of Investment Management from ; Project Management and Business Analysis for development projects and business change programs. System Selection and Implementation to operating model review and design; Compliance and Operational Risk Performance and Reporting.

6 Investment Services STC has a deep understanding of all facets of the global investment management business across the investment value chain. Enterprise Level Workflow Automation (STP) > Data Management Front Office Portfolio Management >Trade Order Management Investment Compliance Middle Office Trade Processing >Reconciliation> Corporate Actions >Performance Measurement >Risk Management > Client Reporting Back Office Custody >Fund Accounting >Fund Administration >Investment Administration Our product knowledge covers; Equities Fixed Interest Derivatives Foreign Exchange Collective Investment Schemes Treasury

7 Investment Solution Evaluation & Selection Our cohesive methodology enables the speedy and accurate completion of these critical projects. Our Statement of Requirements and Request for Proposal deliverables ensure that no functionality is overlooked while time and costs are kept to a minimum. Large and complex solutions will often require more than one product and STC can help in the selection process. STC can add value to one or all of the major steps of any RFI/RFP (Refer for Information/Proposal) Vendor Due Diligence Initial short list of vendors Production of RFI/RFP Collation and scoring of responses Vendor demonstrations (ensuring tailored presentations), including reference site visits if required Identify Final Solution, including a full project risk assessment

8 Business Analysis Good client requirements gathering,understanding the business process and project governance is the basis for delivering projects on time and on budget and therefore are critical steps in our implementation model that is performed,to minimise risk of failure. We flow chart the key processes within Front, Middle and Back office We run work shops to identify the requirements and build the culture. Project Management Our cohesive Front to Back Investment System Project implementation methodology focuses on Governance from the Inside Out perspective preserving Independence Transparency and minimising waste. We can ; Drive the Implementation process forward in line with project objectives Provide monitoring and review of project deliverables scope and progress Advise on the outline content of user procedure manuals Review user procedure manuals Quality assuring the user acceptance testing process Monitoring that adequate staff training is provided prior to implementation Reviewing the process whereby the data conversion is confirmed to be complete and accurate transfer of data. Ensuring compliance with standard industry practice, project management and system implementation procedures Liaising with audit and control specialists.

9 Optimisation Review We offer the Investment Management sector and third party administration clients a specialise review which focuses on identifying areas for improvement within both functional and technical operations. The Business Case A review can provide you with recommendations that are formulated to deliver immediate business impact. We can help to drive an end to end process improvement across teams with a focus on removing manual processes,lowering costs and to enable improved productivity, efficiency and greater operational control. Our Approach We take an approach that is collaborative and results driven We work with you to create a workflow based on key systems and processes and understand your infrastructure. The review will provide you with a set of practical recommendations and a supporting business case.

10 Operational Risk Operational Risk management is an integral part of modern business. Organizations which fail to identify risks in their business and fail to develop appropriate risk management strategies are doomed for failure. We Re-engineer the business process operating model to develop robust compliance & risk management framework. We can assist you to identify your key Operational risks applicable to your business; we can develop and implement a risk management framework specific to your business. Our model will include the following: Risk Analysis We will conduct an exercise to identify risks inherent in departments and develop the culture. Process Mapping We will identify the naked risks in all processes and assigned responsibility within the department. Risk Control Mapping We assign a grading to each naked risk in terms of risk price and risk frequency. Effective Management We define the controls to manage the risks down from their naked status.

11 Governance IT The Turnbull Guidance in the UK's Combined Code on Corporate Governance and the requirements on operational risk in the Basle II framework, expects company boards not only to develop a risk-based approach to the governance of an organisation but also its information and its IT infrastructure The experiences of the Global Financial crisis and failure to check the accuracy of those systems shows that companies have fallen down on the application of IT Governance. At STC we can undertake an independent IT governance (CORBIT) review that goes beyond comply or explain to facilitate effective and prudent IT management that can contribute towards the long term success of your company. Our Three Stage CORBIT governance model will ; Examine your IT Controls Define Controls. Configure a series of Test Plans to determine compliance

12 OFFICES Head Office London. 37 Woodland Way Woodland Way,London N21 3QB Web: Phone : Mobile: Caribbean ST Lucia Foster Chambers 46 St Louis St Castries St Lucia Phone :