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Accounting Compliance Performance Risk

Ramirez Enhanced Reporting Integrated accounting, compliance, performance and risk reporting and analytics Providing complete transparency to our investors March 2010. Accounting Compliance Performance Risk . Daily Web-based Reporting.

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Accounting Compliance Performance Risk

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  1. Ramirez Enhanced Reporting Integrated accounting, compliance, performance and risk reporting and analytics Providing complete transparency to our investors March 2010 Accounting Compliance Performance Risk

  2. Daily Web-based Reporting Ramirez Reportingthrough Clearwater Analytics • Problem and Solution • Ramirez Offering • Accounting • Compliance • Risk • Performance • Summary Accounting Compliance Performance Risk

  3. Investor Data Flow Challenges Accounting Tax Investment Advisor Alternate Investment Advisor Audit Treasury Reporting Reporting Investment Advisor Financial Reporting Senior Mgt. Manual Reports No SAS 70 Investment Advisor Reporting Trades Custody Bank • Holdings • Transactions • Limited accounting Third Party Data Providers Accounting Compliance Performance Risk

  4. The Problem with Existing Financial Systems/IT infrastructure Lack of transparency Lack of timely information Apples to oranges comparisons Considerable manual effort (‘Excel gymnastics’) Lack of process control Lack of third party verification Accounting Compliance Performance Risk

  5. Illinois State University Investor Ramirez Data Flow Solution Accounting Tax Other Investment Advisor Ramirez Ramirez Audit Treasury Data and Reconciliation Trades Financial Reports Ramirez Website Enhanced Reporting Senior Mgt. SAS 70 Data and Reconciliation: Pricing and cash flows based on positions and transactions Custody Bank • Reporting & Services • Accounting • Compliance • Risk • Performance Third Party Data Providers Ratings, Pricing, Security Master, Etc. Bloomberg, Tradeweb, Bondedge Accounting Compliance Performance Risk

  6. The Ramirez Solution Meaningful transparency = Confidence Timely information Apples to apples reporting Automated, hands-off Tight process control (SAS 70 Type II Audit) Third party verification Accounting Compliance Performance Risk

  7. Daily access to individual and aggregate portfolio book of record information Balance sheet, income statement and statement of cash flows prepared according to GAAP with flexible calendar Cash flow forecast Income Forecast Holdings and transactions at tax lot level including security master detail Automated general ledger upload Independent, verifiable source of financial disclosure information, including audit and tax reports Sarbanes-Oxley compliant FAS 95, 115-2, and 157 automation Accounting Accounting Compliance Performance Risk

  8. Customized to match investment policy Flexible rule-writing capabilities including coverage of both risk and accounting related compliance guidelines Monitoring at individual account and aggregate level Daily reflection of changes in security value and characteristics Email notification of violations Daily compliance history Credit watch and history report Compliance Accounting Compliance Performance Risk

  9. Management, dashboard-style, reporting on major risk concentrations (credit, duration, and sector) with detailed drill-down functionality to reveal percentages and values in each risk category by tax lot as well as security level detail Issuer concentration by parent company Index comparison VaR and Risk Adjusted Ratios (Sharpe/Information) Money Market Fund sector breakout Risk Accounting Compliance Performance Risk

  10. AIMR/GIPS calculation standards Total, index and excess returns Total, income and price returns Flexible date ranges Net of fees and gross of fees Taxable equivalent returns Index comparison Manager comparison Risk-adjusted returns Attribution Performance Accounting Compliance Performance Risk

  11. Summary • Web-based (SaaS), daily, aggregated, independent investment reporting technology and service for investors, investment managers, custody banks and execution portals • Integrated, global accounting, compliance, performance, and risk reporting and analytics • Specific solutions for investors constructed on a foundation of reconciled and verified tax lot level positions and transactions • Pursuit of transparency, timeliness, consistency, control and operational efficiency Accounting Compliance Performance Risk

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