Managing Your Integrity And Compliance Risks | The Red Flag Group

1. ABOUT US The Red Flag Group The Compliance Firm® SEP 2017

2. Turn compliance into a competitive advantage by MANAGING YOUR INTEGRITY AND COMPLIANCE RISKS The Red Flag Group is a global integrity risk firm. We apply our unique set of advice, technology and business intelligence applications to manage the integrity risks of our customers.

3. AGENDA • Introductions • The Red Flag Group overview • What makes us different • Integrity due diligence solutions demonstration • Q&A • Closing remarks

4. WHO IS THE RED FLAG GROUP? WHAT DO WE DO?

5. WE MANAGECOMPLIANCE AND INTEGRITY RISKS The Red Flag Group is a global integrity and compliance risk firm. We apply our unique set of advice, technology and business intelligence applications to manage the integrity and compliance risks of our customers. We have a proven methodology that we use to help companies manage these risks.

6. WHO WE ARE As The Compliance Firm®, The Red Flag Group® is where chief compliance officers come for strategic advice and solutions to make compliance a competitive advantage.

7. OUR HISTORY The Red Flag Group® was founded in 2006 by former in-house counsel and senior compliance officers of large multinational companies who wanted to apply their skills to businesses looking to enhance their compliance infrastructure. The Red Flag Group assists companies in developing and maintaining efficient and effective corporate governance and compliance programmes, and has a proven track record in providing integrity due diligence investigations in 194 countries.

8. WHAT DO WE FOCUS ON? Applying our expertise, business intelligence and technology to help our clients manage risks. FOUR MAJOR RISK AREAS Sales practices Managing risks associated with channel partners, agents, intermediaries and internal staff • Supplier integrity • On-boarding new suppliers, risk identification and risk management Knowing your customers, partners, and merger and acquisition targets Who are you dealing with? Human capital Helping clients mitigate risks created by employees and contractors 1 2 3 4

9. We are committed to and have invested in improving our product and client service delivery. • This will take us closer to our vision of being The Compliance Firm®. We know we can only achieve this if our people, processes and products are of the highest-quality and support our clients in the management of innovative and effective compliance programmes. • Adding value • Providing expertise • Taking ownership • Providing service excellence • Being transparent • Taking into account your feedback OUR CUSTOMER FOCUS ANDCOMMITMENTS Customer focus and integrity is at the core of our organisation and an essential part of our relationship with our clients and the solutions we provide them. Our business success is dependent on trusting relationships, which are built on this foundation of integrity. We ensure every engagement meets our RFG-X Standards. RFG-X Standards are the extremely high standards we set for everything that we do.

10. WHEREARE WE?

11. 400+ COMPLIANCE PROFESSIONALS GLOBAL CAPABILITIES 50+ LANGUAGES SPOKEN 40+ NATIONALITIES 14+ We have the right people, processes and technology. CORPORATE OFFICES Our professionals are compliance specialists who have the skills and experience to build and manage compliance programmes in over 194 countries. From screening databases and due diligence to investigations, audits and training, we are ready to help at any time. GLOBAL OFFICES Phoenix, United States London, United Kingdom Dubai, United Arab Emirates Hong Kong SAR Manila, Philippines Krakow, Poland Panama City, Panama Penang, Malaysia Zurich, Switzerland Copenhagen, Denmark Amman, Jordan Shanghai, China Sydney, Australia Our products are supported in 17+ LANGUAGES

12. WHAT IS OUR APPROACH?

13. IMPLEMENTING A RISK-BASED APPROACH RISKS: If no or inadequate programme: • PROGRAMME IMPLEMENTATION: • Concerns: We create a sensible, defensible approach to compliance for your company, using a cost–benefit analysis to determine your risk appetite versus your budget/resources and required impact. • reputation impact • enforcement • cost and time • ‘brain drain’ • costs and resources • slows business • no positive impact on the bottom line • difficult to manage and monitor

14. RISK AREASCOVERED We have identified 23 key areas where serious integrity risks reside across your business.

15. WHICHPRODUCTS AND SERVICESDO WE OFFER?

16. WHAT WE DO? We offer technology solutions, professional services and information services.

17. OUR MAJOR PRODUCTS AND SERVICES We co-develop our solutions with our clients, focusing on implementing best-in-class risk-mitigation practices that align with their strategic goals. Our suite of services comprises tailored project advisory, due diligence covering more than 190 countries, and technology solutions that allow compliance professionals to easily track, manage and monitor their global compliance programmes amid ever-changing regulatory landscapes.

18. PROFESSIONAL SERVICES

19. OUR PROFESSIONAL SERVICES Our compliance experts have been rigorously trained and specialise in particular regions, countries and industries, making them subject-matter experts in their fields. We have among the highest percentage of SCCE-certified personnel in our industry. SINCE 2006 Our Professional Services team members are experts at providing insights and advice to customers. We have been selling solutions since 2006 and we understand what our clients need. We are the leaders in the compliance industry with an amazing reputation for quality. We have 406 qualified compliance professionals with extensive local knowledge in 194 countries and expertise in 45 languages. More info at www.redflaggroup.com/professional-services

20. IntegraCheck® | Integrity Due Diligence provides knowledge, insight and advice, based on your specific risk appetite, helping you make more-informed business decisions. • To date we have completed over 500,000 integrity due diligence reports on companies and individuals around the world. • Background checks covering 194+ countries • Five different levels of reports • Multilingual team of research specialists • Extensive experience in research, analysis and background checks since 2006 • Custom/bespoke due diligence also available

21. ACCESS TO PRIMARY DATA WORLDWIDE UNIQUE OFFERING WITH A BROAD SCOPE OF RISK MANAGEMENT CUSTOMISED ADVISORY SOLUTION FACILITATING THE MITIGATION OF RISKS KEY INFORMATION HIGHLIGHTED BASED ON THE CLIENT’S NEEDS

22. Leverage The Red Flag Group to manage administrative and time-consuming compliance tasks. • Our managed services enable you to: • focus on strategic initiatives and reduce administrative burdens • save costs • allocate existing resources more efficiently • get support during spikes in activity • establish more consistent processes through ingrained roles and responsibilities • meet tight deadlines.

23. Some of our more popular advisory services • Corporate compliance strategies, training and programmes • Helping to build and review a range of corporate compliance programmes • Face-to-face compliance training • Third-party compliance programme development • Assisting companies to develop third-party risk-management programmes • Audits and investigations • Capped-fee investigation management • ISO compliance reviews • Assisting companies to ensure their compliance frameworks meet ISO best-practice requirements OUR ADVISORY SERVICES We provide a wide range of direction and coaching to boards, compliance and legal departments on how to develop and improve their corporate governance and compliance programmes. Services are provided by our Advisory and Professional Services teams, made up of legal and compliance experts.

24. Compliance analytics assessment • Clear compliance success metrics • Create a ‘data-driven’ roadmap • Analytics programme delivery oversight • Investigations and audit support • Transaction review at scale • Lower cost of manual research • Focus resources on real issues • Proactive monitoring and oversight • Customised risk-identification model • Actionable issue notification • Optimised compliance programme We give compliance teams strategies to increase visibility and improve the efficiency of their compliance programmes using data and advanced analytics. • With compliance analytics practices you can: • optimise your compliance programme • proactively discover risk insights • lower the cost of compliance • perform faster investigations. More info at www.redflaggroup.com/compliance-analytics-practice

25. Our ISO reviews expertise • Members of our team have been responsible for developing a number of ISO standards. • Our methodology • We developed a unique methodology of assessing your anti-bribery compliance programme and your preparedness for ISO certifications. • Trusted advisor • With over 450 staff employed worldwide, We serve many of the globe’s leading companies. Anti-bribery compliance is not the latest addition to our product suite, it’s at the heart of everything we do. We provide ISO advisory services to assist organisations to ensure their compliance frameworks meet ISO best-practice guidelines. • We currently offer ISO compliance reviews on the following standards: • ISO 37001 • ISO 19600. More info at www.redflaggroup.com/iso-approach

26. TECHNOLOGY SOLUTIONS

27. ComplianceDesktop® | Compliance Technology Platform is an integrated, effective and practical solution to manage your anti-corruption compliance programme. • Our technology platform includes: • identifying risks • undertaking compliance screening • conducting due diligence • drafting questionnaires • gift, travel and entertainment tracking • managing conflicts of interest • remediation. • www.compliancedesktop.com

28. Supplier Integrity® analyses any potential risks at every step of the process – from supplier onboarding, to ongoing monitoring, to supplier renewal or end of life. • Supplier Integrity® gives you access to: • powerful workflows that guide the user during supplier onboarding, renewal and monitoring • your supplier profiles screened against 23 integrity and compliance risk areas • alerts and suggested remediation activities when there is a change in the behaviour of a supplier.

29. IntegraCall® is an intelligent technology solution for misconduct reporting that allows you to manage your global hotline services through whistleblowers' own handheld devices. • IntegraCall® resolves obstacles and secures the effectiveness of your hotline by being:  • mobile first • multilingual • configurable • case manager capable • simpler to roll out and cost-effective • accessible 24/7/365.

30. OUR TRAINING PRODUCTS • Reduces the complexity of global compliance training programmes through an effective adaptive training system that delivers specific content to each employee. • ADAPTIVE – Ensure your employees get the content they need to know and eliminate unnecessary material and wasted time. • EFFICIENT – Save time and reduce administrative complexity compared to traditional training solutions. • ENGAGING – Keep your employees engaged with high-quality animations depicting real-world scenarios and written in simple, direct messaging. • EFFECTIVE – Direct messaging that is free of legalese creates actionable intelligence rather than just ‘checking the box’. • Fully customisable content • Developed by our compliance experts with client input • Targets specific topics • Translations available in 80+ languages

31. INFORMATION SERVICES

32. IntegraWatch® is a unified database with over four million records of people and organisations that could present compliance or integrity risks to your company. • Database coverage includes: • lists of government-related entities and politically-exposed persons • our proprietary industry list covering high-risk companies and people • sanctions lists • watchlists.

33. HOW IS THE RED FLAG GROUPDIFFERENT FROMOTHER FIRMS?

34. Customer focus and integrity is at the core of our organisation and an essential part of our relationship with our clients and the solutions we provide them. Our business success is dependent on trusting relationships, which are built on a foundation of integrity. That is why we ensure every engagement meets our RFG-X Standards, the extremely high standards we set for everything that we do. WHAT MAKE US DIFFERENT Growing Proprietary technology developed in-house Thought leadership and expert advisory Global coverage with extensive local knowledge and expertise in 45 languages Not just a data or technology firm – a full suite of products and services Profitable, capitalised and stable since 2006 • “We definitely get value for the dollar with The Red Flag Group. The Firm is honest and ethical and charge a reasonable fee for their service’’ Director, Legal & Compliance, Global Medical Devices Manufacturer

35. 1 We commit to a product and services mix that is cutting edge and always expertly crafted to add value to our clients’ businesses. OUR PRODUCTS AND SERVICES MIX 2 We make sure that we have the business at heart and contribute to your value as a business leader. 3 We will exceed your expectations with everything we deliver.

36. CONTACT US To find out more about our products and services, please visit www.redflaggroup.com or contact us at info@redflaggroup.com.