ADVANTAGE: YOU. 2 3 February, 2015 OPERATIONS & COMPLIANCE WORKSHOPS. Bloomberg L.P. L27 Cheung Kong Centre 2 Queen s Road Central Hong Kong

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1 ADVANTAGE: YOU 2 3 February, 2015 Bloomberg L.P. L27 Cheung Kong Centre 2 Queen s Road Central Hong Kong OPERATIONS & COMPLIANCE WORKSHOPS Presented by BLOOMBERG AIM

2 AGENDA DAY 1 8:30 Introduction and Continental fast 9:00 Track Sessions We are pleased to present two tracks: 12:00 Lunch - Overlap Sesssion 12:45 Track Sessions See next page for more details Administrator & Operations Select this entire track if you re an AIM System Administrator, Operations or 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

3 ADMINISTRATOR & OPERATIONS TRACK (Day 1) 9:00 // CKC-26-MPR Session 1: Database Infrastructure & latest RMON rollouts How 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 ready for the new market. 10:30 10:45 // CKC-26-MPR Session 2: Compliance Light Who 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, default settings and compliance support. This is a broad overview. 12:45 // CKC-26-MPR Trading Workflows and Tools // Session 3: Trading I 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 Bloomberg data 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» 14:15 // FX Trading Latest enhancements on AIM-FXGO» 15:00 // 15:15 // CKC-26-MPR Middle 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.

4 COMPLIANCE CONCENTRATION TRACK (Day 1) 9:00 // CKC-27-TRAIN B Introductions & Program Goals Have a chance to meet your peers in the compliance industry & get to know the Bloomberg AIM Compliance Specialist team. 9:15 // CKC-27-TRAIN B Session A: Bloomberg Search Functions Your 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. 10:15 10:30 // CKC-27-TRAIN B Session B: Compliance Infrastructure This 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 B Session C: Related Compliance Applications 12:45 // CKC-27-TRAIN B Session D: Related Compliance Applications 2 14:00 14:15 // CKC-27-TRAIN B Session E: Rule Creation Understand 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 This is 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.

5 AGENDA DAY 2 8:30 Introduction and Continental fast 9:00 Track Sessions We are pleased to present two tracks: 13:45 16:00 Evening Reception Administrator & BTM Select 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 Concentration Select this entire track if you: a) couldn t get enough of this track day 1 or b) are way past the basics of compliance and are ready for the some serious compliance or Pick a specific topic and then change tracks. See next page for more details 12:15 Lunch - Overlap Session

6 ADMINISTRATOR & OPERATIONS TRACK (Day 2) 9:00 // CKC-26-MPR Session 1: Tips and Tricks from Bloomberg AIM Specialist Gain insight from Bloomberg experts on areas that will simply make your life easier on AIM. 10:00 10:15 // CKC-26-MPR Session 2: Integration, Feeds & Data Flow Are 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. 13:00 // CKC-26-MPR Basic to Advanced Reporting Overlap Session Can 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. 13:45 14:00 // CKC-26-MPR Development Discussion with our Business Manager

7 COMPLIANCE CONCENTRATION TRACK (Day 2) 9:00 // CKC-27-TRAIN B Rule Creation Workshop Part 1 11:00 11:15 // CKC-27-TRAIN B Rule Creation Workshop Part 2 13:00 // CKC-26-MPR Basic to Advanced Reporting Overlap Session Can 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. 13:45 14:00 // CKC-27-TRAIN B Monitoring the Business 14:45 // CKC-27-TRAIN B Exam