How To Help Your Business Succeed

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1 Rapidly Growing Mid-Stream Energy Refinery and Transportation firm Monitors Master Data for Controls FulcrumWay Leading Provider of Enterprise Risk Assessment Mitigation and Remediation Solutions Enterprise Risk Management Financial Close Monitor Advanced Controls Catalog Enterprise Audit GRC Monitor Leverage T echnology: Move Your Business Forward Give me a lever long enough and a fulcrum on which to place it, and I shall move the world - Archimedes Copyright. Fulcrum Information Technology, Inc.

2 Copyright FulcrumWay Page 2 Introduction FulcrumWay Intelligent, Integrated Instant Risk Management FulcrumWay: is the #1 End-to-End Provider of Enterprise Risk Management Expertise, Solutions and Software Services for Oracle EBS, PeopleSoft and JDE customers with over 200 Fortune-500 to Middle Market clients. Since 2003, we have successfully assisted companies across all major industry segments. Expertise: Risk Advisory Services. Advanced Controls Design for Enterprise Business Applications. Best Practices for Risk Mitigation and Internal Controls Automation. Audit, Compliance, Financial, Enterprise and Operational Risk Assessments. Risk Remediation Services such as Segregation of Duties. Packaged Solutions: FulcrumWay is the #1 choice of Oracle customers for Oracle GRC Manager, GRC Controls and GRC Intelligence/OBIEE software implementation. Oracle has certified us as the only partner with Accelerators for Oracle GRC. We also provide Managed Services and Hosting for Oracle GRC applications. Software Services: Risk Management Tools: Enterprise Risk Manager, Financial Close Risk Manager, Risk Based Audit Manager, IT Risk Workbench, and Advanced Controls Catalog. Data Management Tools: Rules Repository, DataProbe adaptors and Data Hub. USA Presence: Privately held Delaware Corporation with US offices in New York City, Dallas and San Francisco International Presence: in Chennai, Dubai, Kampala, London, Rome, Santiago, Singapore

3 Copyright FulcrumWay Page 3 Our Experience FulcrumWay Clients Government Oil and Gas Financial Services Retail Communications Manufacturing Industrial Equipment Natural Resources Media and Entertainment Healthcare High Tech Life Sciences

Copyright FulcrumWay Page 4 Our Experience FulcrumWay Insight Thought Leadership Co-Authored GRC Book: First book on GRC for Oracle Applications Executive Round Tables GRC

for Automating Application Controls Collaborate 13 GRC Client Appreciation Dinner April 9 th, 2013 Denver Webcasts GRC Best Practices, Trends and Expert Insight Oracle Open World

4 Copyright FulcrumWay Page 4 Our Experience FulcrumWay Insight Thought Leadership Co-Authored GRC Book: First book on GRC for Oracle Applications Executive Round Tables GRC Solutions for Energy Industry, Houston, November 2012 OAUG GRC Solution Lab - April 7 th 11 th Denver: GRC Case Studies and Best Practices IIA - Presentations - Top Five Reasons for Automating Application Controls Collaborate 13 GRC Client Appreciation Dinner April 9 th, 2013 Denver Webcasts GRC Best Practices, Trends and Expert Insight Oracle Open World Annual GRC Dinner on September 23 rd, 2013 W Hotel San Francisco LinkedIn FulcrumWay Risk, Compliance and Audit Software Group YouTube Podcasts FulcrumWay Instant Insight in 10 min or less

5 Copyright FulcrumWay FulcrumWay Application Controls Management Best Practices Page 5 Scope Application Controls Manage Exceptions Setup Preventive Controls Assess Risk Establish Test Environment Detect Violations Analyze Issues Remediate Issues Implement Corrective Actions Monitor Application Environment Sample ERP Data Application Controls Manager IT/Business Control Teams Application Security Administrator Application Controls Manager

6 Intelligent Integrated Instant Copyright FulcrumWay Page 6 Overview FulcrumWay Enterprise Risk Management Services Enterprise Risk Monitors Risk Assessment Key Risk Indicators Enterprise Survey Compliance Certification Incident Monitor Financial Close Management Risk Based Operations Audit Management Task Monitor Enterprise Audit Manager Audit Planner Variance Analytics Reconciliation Analytics Controls Verification Control Analytics Financial Controls: (GL,AP,AR,FA,CM) Business Rules Repository - Advanced Application Controls HCM/HR Controls : (HR,PR) Distribution Controls: (OM,INV,WMS,PO) Supply Chain Controls : (ENG,QP,WIP,BOM) Access Monitor Configuration Monitor GRC Monitor Enterprise Data Security Incident Monitor Master Data Monitor Database Vulnerabilities FulcrumWay Core Technologies DataProbe DataHub Rules Repository Rules Engine Monitors Transmitters

7 Client case Our Client Midstream energy firm with diverse segments, including refinery-related plants, pipelines, storage tanks and terminals, marine operations, and trucks and truck terminals. Focused on the midstream segment of the oil and gas industry, pulp and paper mills, mining operations and other industries. Challenges Replace 6 disjointed legacy financial systems with one ERP solution Increase corporate oversight over the subsidiaries Reduce risk in key processes Improve/streamline financial controls reduce overall population of controls Increase external auditor s reliance on our control testing Solutions GRC DataProbe ERP Controls Catalog ERP Controls Monitor Rapidly Growing Mid-Stream Energy firm Monitors Master Data for Controls Results: Increased ERP System Controls by 75% by replacing manual controls, resulting in ROI within 8 months. Improved Master Data Customer, Supplier, Employee Records accuracy to 99.99% by reporting accuracy, consistency and timeliness incidents and remediating those incidents Implemented automated controls to monitor data governance policies and provide a complete audit trail Satisfied industry and regulators compliance audit requirements by providing audit reports and logs to assert the effectiveness of internal controls in mission-critical systems Enabled ERP project team to validate master data across various ERP database instances such as Test, QA and Prod to ensure master data accuracy Copyright FulcrumWay Page 7

8 Select ERP Controls Copyright FulcrumWay FW Controls Catalog with over 1,000 advance controls Page 8 Select SOD, Master Data, Setup, and Transaction Controls Risk Assessment Detect control weaknesses across ERP system to identify business process optimization opportunities

Establish Test Environment Copyright FulcrumWay ERP Test environment consists of ERP configurations and data objects Page 9 Selected security, setup and data objects are included in the environment

9 Establish Test Environment Copyright FulcrumWay ERP Test environment consists of ERP configurations and data objects Page 9 Selected security, setup and data objects are included in the environment ERP Configuration such as 3-way match in payable options, master data such as Users, Responsibilities, Customers, Invoices, Suppliers, Assets and Payments records are analyzed for control failure risks

Leading investor communications firm serving brokerdealers, and investment banks protects sensitive data

Leading investor communications firm serving brokerdealers, and investment banks protects sensitive data FulcrumWay Leading Provider of Enterprise Risk Assessment Mitigation and Remediation Solutions Enterprise