COMPLIANCE PROTEGENT MARKET ABUSE

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1 Protegent Market Abuse 1 COMPLIANCE PROTEGENT MARKET ABUSE

2 Protegent Market Abuse 2 PROTEGENT MARKET ABUSE A COMPREHENSIVE SET OF TOOLS TO ADDRESS MARKET MANIPULATION AND INSIDER TRADING CONCERNS

3 1 Protegent Market Abuse For more than a decade, Protegent has been providing holistic monitoring, detection and resolution tools to mitigate mounting global compliance risks. Protegent continuously enhances its solution set to offer firms the most comprehensive tools to detect suspected market manipulation and insider trading. Protegent Market Abuse combines the benefits of a comprehensive, off-the-shelf solution with the adaptability and flexibility of a custom-built solution. Protegent delivers a robust rule library built from years of industry experience and provides unfettered access to view, edit and add to the extensive out-of-the-box rule library. Users who are closer to the issues can fine-tune the application and calibrate rules to meet their ever-changing needs. Protegent Market Abuse competently addresses the business challenges faced by the financial services community. Product highlights Business challenge Improving compliance staff efficiency and maximizing resources Multi-jurisdictional surveillance across markets and asset classes Increasing confidence by quickly and effectively responding to regulatory queries and audits Benefit Reduce false positives and produce meaningful results with calibration tools and business logic editing capabilities. Perform analysis on single market or cross markets and across asset classes from one solution while maintaining Chinese Walls and unique requirements per jurisdiction. Easily create, schedule and share custom-made ad hoc reports, including charts and graphs. Referencing the myriad of data required to properly manage market abuse issues Properly assess all relevant information for market manipulation and insider trading including market data, and price-sensitive news. Managing IT requirements/constraints Minimize IT requirements and expedite deployment with flexible hosting via FIS infrastructure.

4 Protegent Market Abuse 2 Protegent Market Abuse solution overview INPUTS WEB-BASED USER INTERFACE Firm data Retail & institutional & Switching Orders Trades Positions RULES ENGINE Automated Analysis Case manager Alerts review DATA STORE AUDITABLE RESULTS Market replay Market data Thomson Reuters 150+ global markets Bid/ask Last Sale Market Volume Open, High, Low, Close Market News Price sensitive news Regulatory news Build Modify Test Deploy ALERT LIBRARY Rules Data views Standard reports Ad-hoc reports

5 3 Protegent Market Abuse Alerts review Whenever market abuse rules identify suspicious activity, Protegent Market Abuse generates alerts to present high-risk issues for compliance review. For each alert, all relevant order, trade and market data information required by compliance staff to disposition alerts is captured. The user interface effectively leverages graphics, tables and links to speed up analysis and support work flow. Rules analyze trading patterns across multiple markets, asset classes and instruments. Alerts analyze patterns based ona configurable look back period, and adjusts to normal changes in market and participant behavior, minimizing the amount of false positives while rremaining vigilant in detecting suspicious behaviors. Global market data with market replay Comprehensive market surveillance requires comprehensive market information. Utilizing FIS extensive market data network, Protegent Market Abuse has access to reference market data for most markets across the globe. Protegent uses this data in rule processing as well as for Market Replay within the context of an alert investigation or in support of forensic research. Data overlays and visual charting also help quickly identify trends and patterns that may be difficult to identify when analyzing raw data. This context-specific information enables compliance staff to disposition alerts with less complexity and greater efficiency. AUTOMATED ANALYSIS AND DETECTION Spoofing Market replay chart Marking the close Front running market events, news, clients Interrelated instruments e.g., physical vs financial Wash trades Price inflation/deflation Unusual trading activity Quote stuffing and pinging Large Order detection Low Priced Instrument trading Momentum Ignition Trade and Volume Concentration Ping Orders Banging the Fix Price

6 Protegent Market Abuse 4 Standard reports Protegent allows users to analyze information over time and view reports on trends, patterns and violations at an aggregate level. Baseline reports help identify firm trends by alert category, by alert severity and by trader and client account. Also, use these reports to identify case management progress or problems based on resolution timeline and progress within firm-defined processes. A set of standard reports are available to download in Excel, PDF, XML, or delimited text formats as well as being accessible online. Any standard report can also be added to the user s configurable dashboard. Integrated compliance-centric solutions Protegent is committed to servicing the unique needs of the compliance user. FIS Protegent compliance platform enables compliance users to manage surveillance and monitor tasks across functions using integrated functionality and common components. Because Protegent Market Abuse is a specialized module available through the Protegent compliance platform, users are able to take advantage of core functionality in addition to the functionality created specifically for the trade surveillance function. Of these components and functions, the most relevant include but are not limited to: Ad hoc report create and customize reporting that spans across the entire data model. Possibilities include the potential overlay of third party data models enabling cross data model reporting. Roles and User Hierarchy Protegent provides the ability to support multiple branches across several jurisdictions with one single installation through its flexible roles based user and hierarchy configuration. Dashboard Reporting Reporting capabilities wouldn t be complete without an integrated dashboard component. Protegent compliance platform s Dashboard Reporting feature leverages the ad hoc report generator to display any report as a report widget on a user dashboard. Dashboards can be created and shared globally, across roles, or be kept private for personal use. Users are not limited to the number of dashboards they can view and have full control over the number of widgets displayed and their location on the screen by using drag and drop technology. Users are able to further configure dashboard widgets by applying filtering capabilities that allow the user to dissect the information being presented via the widget. Case management Compliance processes can overlap whereby an issue detected from one perspective of a firm s business often has implications to another. FIS recognizes this fact and has incorporated workflow capabilities into the Protegent compliance platform that tightly integrates and transcend across individual applications within the Platform. Features such as concurrent routing and status definition allow ample flexibility to enable dynamic and pre-defined workflow along with requisite audit trail. The Protegent compliance platform also supports capture of exhibits (e.g. file/document attachments) that help create efficiencies in tracking reference information without the need to keep information outside of the platform. Because Case Management is fully integrated across the platform, workflow can be attributed to other outputs or components within the platform such as ad hoc reports and system reviews. Cases can be grouped for bulk tracking and resolution. Users may also manually create cases to track findings detected through their own surveillance efforts.

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8 About Protegent FIS Protegent is a suite of solutions that help automate financial institutions compliance processes. It helps give financial institutions transparency into their data while helping them to enforce and document their compliance policies and procedures. Protegent s solutions cover social media review, personal trading oversight, market abuse, Reg NMS, Order Audit Trail System (OATS), and transaction supervision and surveillance review. For more information, please visit visit About FIS FIS is a global leader in financial services technology, with a focus on retail and institutional banking, payments, asset and wealth management, risk and compliance, consulting and outsourcing solutions. Through the depth and breadth of our solutions portfolio, global capabilities and domain expertise, FIS serves more than 20,000 clients in over 130 countries. Headquartered in Jacksonville, Florida, FIS employs more than 55,000 people worldwide and holds leadership positions in payment processing, financial software and banking solutions. Providing software, services and outsourcing of the technology that empowers the financial world, FIS is a Fortune 500 company and is a member of Standard & Poor s 500 Index. For more information about FIS, visit twitter.com/fisglobal getinfo@fisglobal.com linkedin.com/company/fisglobal 2016 FIS FIS and the FIS logo are trademarks or registered trademarks of FIS or its subsidiaries in the U.S. and/or other countries. Other parties marks are the property of their respective owners. 0841