SunGard Solutions Guide 2011
An overview of SunGard's Financial Systems business and the products and solutions provided by each of the business segments.
TRANSPARENCY | EFFICIENCY | NETWORKS This page does not get printed. CAPITALIZE ON CHANGE SOLUTIONS GUIDE TABLE OF CONTENTS 3 4 5 6 12 32 36 40 44 48 52 56 60 62 64 Introduction Fact Sheet About SunGard Wholesale Finance: Asset Management Capital Markets Energy & Commodities Consumer Finance: Banking Insurance Wealth Management Corporate Liquidity Services: Global Services SunGard Global Network SunGard's Global Presence Contact Us Keyword Index 1 2 INTRODUCTION For more than 25 years, financial services organizations and large companies have relied on SunGard to help them get the most value out of their IT investment. In the last 12 months, thousands of our customers have joined us online and at City Day events around the world to discuss how Transparency, Efficiency and Networks are shaping the future of the industry. These themes have a deep resonance as we aim to help our customers capitalize on change in the finance and technology industries. We take our role to continually improve the mission-critical software that underpins the world's financial systems very seriously. We leverage our experience to provide integrated solutions, services and global networks that help solve our customers' unique business challenges. Our customers vary in size, complexity, geographic scope and business interests but our commitment to each of them is the same: � Be a trusted partner � Make wise choices � Achieve superior value � Balance innovation with pragmatism The most important connection we make is with our customers. As SunGard moves forward, we remain customer-focused and dedicated to nurturing long-term, mutually beneficial customer relationships. We look forward to working with you. Sincerely, Harold Finders SunGard Financial Systems chief executive officer 3 FACT SHEET / ABOUT SUNGARD FACT SHEET Legal Entity Name: Ownership: Principal Investors: SunGard Data Systems Inc. Privately held Bain Capital Partners The Blackstone Group Goldman Sachs & Co. Kohlberg Kravis Roberts & Co. Providence Equity Partners Silver Lake TPG www.sungard.com 680 E. Swedesford Road Wayne, PA 19087 484-582-2000 800-825-2518 Glenn Hutchins Crist�bal Conde Robert Woods 20,000 2010 - $4.99 billion 2009 - $5.51 billion 2008 - $5.60 billion December 31 Web site: Headquarters: Telephone: Toll free number (U.S.): Chairman: CEO: CFO: Number of Employees: Revenue: Fiscal Year: COMPANY HISTORY SunGard was formed in 1982 as a leveraged buy-out from Sun Oil Company. It went public in 1986 and its stock was listed on Nasdaq and subsequently on the New York Stock Exchange. It was taken private in August 2005 by a consortium of private equity firms organized by Silver Lake in a leveraged buy-out valued at $11.4 billion. $20 trillion in investment assets are accounted for and managed daily on SunGard systems. More than 10 million trades are processed by broker-dealers and other financial intermediaries on SunGard systems. For more information, visit www.sungard.com. 4 ABOUT SUNGARD SunGard is one of the world's leading software and IT services companies, serving more than 25,000 customers in more than 70 countries. SunGard provides software and processing solutions for financial services, higher education and the public sector. SunGard also provides disaster recovery services, managed IT services, information availability consulting services and business continuity management software. With annual revenue of about $5 billion, SunGard is ranked 380 on the Fortune 500 List and is the largest privately-held business software and services company on the Forbes list of private businesses. Continuity, Insurance & Risk has recognized SunGard as service provider of the year an unprecedented seven times. SunGard is comprised of four businesses � Availability Services, Financial Systems, Higher Education and Public Sector � that provide IT services and infrastructure, and software and processing solutions. It has 20,000 employees who work in 200 offices in 30 countries. SunGard's corporate headquarters is located in Wayne, Pennsylvania. SunGard has leading positions and strong customer relationships within all four of its businesses. It has also used acquisitions to expand its product line, customer base and geographic footprint, which have contributed significantly to its long-term growth and success. SunGard Financial Systems provides mission-critical software and IT services to institutions in virtually every segment of the financial services industry. The primary purpose of most of these systems is to automate the many specialized business processes associated with trading, managing investment portfolios and accounting for investment assets. They address the processing requirements of a broad range of users within financial services, including asset managers, traders, custodians, compliance officers, treasurers, insurers, risk managers, hedge fund managers, plan administrators and clearing agents. SunGard also provides consulting services that focus on implementation and integration of these solutions and on software development. 5 SunGard Solutions for WHOLESALE FINANCE "Technology is the lifeblood of our business. In addition to handling our business-as-usual, Asset Arena has served as the platform from which we have launched competitive actions, allowing us to grow our client and revenue base significantly." Dale Lippstreu, director, Maitland Fund Services, Maitland Group 6 ASSET MANAGEMENT MORE THAN $20 TRILLION IN ASSETS WORLDWIDE ARE PROCESSED ON SUNGARD'S ASSET MANAGEMENT SOLUTIONS. Industry Commentary Managing and growing the assets of clients has become a challenging business for asset managers globally � from the smallest hedge fund start-ups to the largest institutional firms. Both investors and regulators are seeking greater transparency from fund managers. They require evidence that processes are robust, that strict controls are in place and that appropriate risk management measures are taken. In order to meet these growing demands and to cope with increasing market and regulatory complexity, asset managers are becoming more focused on productivity and are optimizing their operations around cost, accuracy and efficiency. How Can SunGard Help? SunGard's solutions help traditional and alternative asset managers and servicers improve transparency and efficiency across their front-, middle- and back-office operations. SunGard automates every phase of the investment process, with tools for portfolio managers, traders and operations staff. Through a combination of deep domain knowledge, business process management and comprehensive consulting services, SunGard helps customers optimize their systems, while maintaining the agility to respond to changing business and regulatory requirements. Customers are able to manage complexity and reduce both costs and operational risk. 7 SunGard Solutions for WHOLESALE FINANCE Primary Solutions Solutions for Trading and Investment Analysis APT: A risk management, portfolio construction and optimization solution for asset managers, hedge funds, pension funds, broker-dealers and proprietary traders. Asset Arena Compliance: A single, integrated application that supports all pre-trade, post-trade and end-of-day compliance for portfolio managers, compliance officers and asset administrators. Asset Arena Investment Management: An integrated solution that automates investment decisions, monitors compliance activities, streamlines trading workflow and improves client reporting for fund managers and traders. Asset Arena Manager: A portfolio monitoring and decision support solution for fund managers who analyze and evaluate complex portfolios. Asset Arena Trader: An order management system for traders that streamlines workflow and provides greater control of order processing. Asset Arena Performance: A performance measurement, attribution and reporting solution for asset managers and servicers that calculates and stores rates of return for an unlimited number of standard or user-defined categories. Front Arena: A real-time solution for portfolio management, operations and risk used by hedge funds, asset managers and fund administrators to manage single and multi-strategy portfolios. Monis: An analysis, modeling, pricing, trading and portfolio management tool used by asset managers, traders and hedge fund managers to support a range of asset classes, including convertible bonds, equity options, FX options and interest rate derivatives. 8 Solutions for Operations Asset Arena Control Center: An application that converts complex work processes into electronic checklists and dashboards, giving back-office professionals a centralized view of their fund accounting and investor accounting activities. Asset Arena Investment Accounting: A modular, real-time accounting system supporting both investment operations and reporting for a wide range of assets, countries and territories, easily accessed via a Web front-end. Asset Arena Securities Transfer: A broad group of systems that support the record-keeping and settlement requirements for corporate trust and stock transfer businesses, and help streamline operational processes for the full range of equity and fixed income securities. Asset Arena Transfer Agency: A real-time shareholder recordkeeping solution for asset managers and servicers, that addresses the unique needs of processing investor records in a highly specialized and automated fashion. InvesTier: An accounting and reporting solution providing partnership accounting, fee calculation and equalization accounting capabilities for domestic and offshore hedge funds, funds of funds and fund administrators. Investran: An application suite that automates front-, middle- and back-office processes including relationship management, reporting, monitoring, accounting, fund raising and deal pipeline management for private equity and alternative investment firms. VPM: A multi-currency portfolio accounting solution for hedge funds. Services Asset Arena Consulting: Custom consulting services that combine depth of expertise and breadth of service to address the unique business and technology requirements of asset managers and servicers. FastVal: An independent portfolio valuation service for derivatives and structured products used by banks and brokerages, hedge funds and corporations. 9 CO SunGard Solutions for WHOLESALE FINANCE IF YOUR ROLE IS... ASSET MANAGER, PENSION MANAGER, SOVEREIGN FUND MANAGER AND YOUR NEEDS ARE... � Analysis and modeling SS C EO L � Benchmark management O � Business process management PR NTR � Compliance CO � Convertible arbitrage trading and analytics � Decision support � Fund and investor accounting � Independent valuation � Investment and portfolio accounting � Investor recordkeeping SH � Order and execution management � Portfolio monitoring AR � Portfolio construction,A EH optimization, risk modeling and reporting OL PR CCO D N � Strategy management O U ER TIO R TO G ES N NV VICI I R SE PR OC ES SIN FAMILY OFFICE/ O WEALTH MANAGER EC I NC LIA R CE NT SS I � Portfolio construction, optimization,N G risk modeling and reporting � Portfolio and investor accounting � Business process management � Compliance IP � Fund and investor accounting SH G � Independent valuation R � Investment and portfolio accounting NE TIN N � Performance T measurement R PA COU � Position-keeping � Risk and middle-office functionality AC � Transfer agency FUND ADMINISTRATOR, THIRD-PARTY ADMINISTRATOR G C FUND TRANSFER AGENT, CORPORATE TRUSTEE, STOCK TRANSFER AGENT HEDGE FUND MANAGER, FUND OF FUNDS MANAGER � Debt accounting and recordkeeping � Investor recordkeeping and reporting NG � Shareholder recordkeeping and I AR reporting � Transfer agency RT E � Analysis and modeling � Business process management � Compliance � Convertible arbitrage trading and analytics � Decision support � Distribution support � Fund and investor accounting � Independent valuation � Order and execution management � Portfolio and investor accounting, management and reporting � Portfolio construction, optimization, risk modeling and reporting � Shareholder registry � Portfolio and investor accounting, management and reporting � Relationship management CL PPO SU PRIVATE EQUITY FUND MANAGER, GP, LP, OR INVESTOR 10 OM PL IA NC E OUR SOLUTION IS... � APT � Asset Arena Performance � Asset Arena Compliance IN � Asset Arena Trader V � Asset Arena Transfer Agency � Asset Arena Consulting COEST � Asset Arena Control Center � FastVal MM ME � Asset Arena Investment Accounting � Front Arena ITT NT NT � Asset Arena Investment Management � Monis ME Y EE � Asset Arena Manager � VPM ST E EG INV RAT ST � APT � Asset Arena Consulting � InvesTier � Asset Arena Compliance � Asset Arena Consulting � Asset Arena Control Center R � Asset E D Arena Investment Accounting S �OL Arena Investment Management Asset N H AssetIO Performance � Arena T E � Investran � VPM � Asset Arena Securities Transfer DE � Asset Arena Transfer Agency � FastVal SE ALE � InvesTier RV R IC � Investran R CA HA UNI S M OM ES � Asset Arena Consulting � Asset Arena Securities Transfer � Asset Arena Transfer Agency ER LD HO G RE ICIN A S H E RV S � Asset Arena Transfer Agency � FastVal � Front Arena � InvesTier � Investran � Monis � VPM � APT � Asset Arena Compliance � Asset Arena Consulting � Asset Arena Control Center � Asset Arena Investment Management � Asset Arena Manager � Asset Arena Trader � Asset Arena Consulting � InvesTier � Investran 11 SunGard Solutions for WHOLESALE FINANCE "SunGard's Protegent suite of automated compliance solutions increases our regulatory transparency across multiple asset classes and geographies. Protegent's customizable and integrated technology is tailored to today's ever-changing and increasingly global regulatory landscape. SunGard is the one partner that keeps our new and current accounts in compliance, while helping prevent fines and reducing operational costs." Salene Hitchcock-Gear, president and chief executive officer, Ameritas Investment Corp. 12 CAPITAL MARKETS OVER 2,500 FINANCIAL FIRMS RELY ON SUNGARD'S GLOBAL TRADING TECHNOLOGY TO HELP THEM MAKE MONEY, SAVE MONEY AND PROTECT THEIR ASSETS. Industry Commentary The aftermath of the financial crisis has prompted a wave of regulation and highlighted weaknesses in financial institutions' trading technology and risk management strategies in the capital markets arena. Evolving market structure and regulatory change require institutions to swiftly react to new market conditions and still remain compliant. Firm-wide, real-time execution and position management with enterprise-wide risk control are now required. Fragmented liquidity and the need to streamline post-trade operations challenge buy- and sell-side firms to control costs while discovering new revenue opportunities in new markets and asset classes. How Can SunGard Help? SunGard's solutions for capital markets help financial institutions improve efficiency, transparency and global connectivity. With a complete set of multi-asset and multi-market solutions for the front-, middle- and back- offices, SunGard supports the entire trade lifecycle, offering access to more than 130 markets worldwide. SunGard's high performance solutions cover risk management, order management and execution, post-trade services, position management, market data, enterprise data management, securities finance and compliance. 13 SunGard Solutions for WHOLESALE FINANCE COMPLIANCE Industry Commentary As regulators around the world continue to put a spotlight on the capital markets industry, institutions are under increased pressure to remain compliant on a global scale. New rules and procedures, covering everything from clearing to money laundering to cost basis reporting, place additional burdens on compliance officers and increase the chances of reputational risk. Institutions need automated and agile compliance, surveillance and supervision solutions to meet regulatory requirements and achieve cost savings. How Can SunGard Help? SunGard provides solutions to meet best-practice global regulatory compliance, surveillance and suitability requirements. SunGard's experts have decades of industry experience in helping institutions reduce risk across multiple assets and geographies. SunGard's solutions offer greater visibility into potential regulatory exposure while increasing compliance efficiency, transparency and confidence. In doing so, they help keep institutions compliant and investors informed. Primary Solutions Protegent: A suite of integrated and automated solutions for compliance, surveillance, social media, new account opening, conflicts management, commissions processing and suitability practices. Stream Wall Street Concepts: A suite of tax information solutions that helps US financial institutions comply with IRS reporting requirements. Valdi: Provides flexible and cost-effective technology for mitigating risk and regulatory exposure. 14 PRE-TRADE ANALYTICS Industry Commentary Sophisticated analytics help firms manage market and counterparty risk and execution while enhancing profitability. Understanding the full implications of complex strategies is crucial � from trading and portfolio management to securities finance. "After the fact" performance benchmarking is of no use in the new risk era. To understand dynamic positions, institutions need the full risk picture, from pre-deal limit checks to incremental exposures and credit adjustments, in order to choose counterparties wisely. How Can SunGard Help? SunGard's solutions provide buy- and sell-side institutions pre-trade risk analytics to help them study and respond to market and counterparty risk. Customers can easily access pre-deal views on risk, run multiple "what-if" trade scenarios, and compute changes in potential future exposure and credit valuation adjustments in real-time before making a counterparty selection. Primary Solutions Adaptiv: An enterprise-wide credit and market risk management solution suite for global financial institutions. Astec Analytics: A market information solution suite including a database of securities lending transactions used by investment professionals with an interest in daily short-side or securities lending market data. Fox River Execution: Provides high-performance, customizable execution algorithms and sophisticated pre-trade analytical tools. MarketMap: A suite of global market data solutions that provides real-time price information, news and analysis, financial calculators and integration tools for decision support. Valdi: Real-time trading and risk management products for processing market information. 15 SunGard Solutions for WHOLESALE FINANCE "As our partner, SunGard has helped us cast a much larger shadow and penetrate business lines that we otherwise would not have been able to pursue, which is key for an organization like ours." Anthony Katsingris, chief operating officer, Albert Fried & Company 16 ENTERPRISE COLLATERAL MANAGEMENT Industry Commentary Counterparty credit risk and more efficient use of available collateral is now at the forefront of many senior managers' minds. Sound collateral management is proven to mitigate credit risk. Banks therefore need a unified approach to optimize collateral across business lines and embrace new industry developments, including central clearing for OTC derivatives. How Can SunGard Help? SunGard helps banks gain an aggregate view of proprietary and client data to better understand exposures and positions and reduce risk and cost. SunGard's solutions give multiple departments a unified view of collateral, helping automate key workflows. With this approach, institutions can optimize the use of collateral, helping to boost transparency, reduce operational risk and improve efficiency. Primary Solutions Adaptiv: Collateral management for OTC derivatives. Apex: Collateral management for securities finance and repo trading. StreamCore: A data management framework that normalizes and consolidates data from disparate applications into a single repository that can feed any system. 17 SunGard Solutions for WHOLESALE FINANCE ENTERPRISE DATA MANAGEMENT Industry Commentary Institutions depend on complete and consistent information to identify business opportunities, manage risk and increase efficiency. Institutions need platforms that can handle multiple instrument types and provide holistic views of information. Legacy IT architectures hinder efforts to integrate systems and data silos. This reduces access to real-time information to create the consolidated view of activities, risk and exposure that regulators demand. Growing market, reference and internal data volumes and instrument complexity make it difficult to distribute information quickly and easily to business-critical applications and end users. How Can SunGard Help? SunGard helps institutions capture, analyze and store data to support decision making, risk and regulatory reporting across asset classes and business lines. SunGard's solutions aggregate data from disparate legacy systems to create a holistic view of information that helps customers monitor and understand exposures and positions. This gives different groups the same picture, and helps to reduce risks and costs. SunGard provides customers with the content and infrastructure they need to manage and deliver data efficiently, guide trading and investment decisions and respond to regulatory requirements. Primary Solutions Fame: A market data and historical database for storing and managing real-time, high-volume time-series data. Protegent: A seamless user-interface for middle-office solutions supporting the compensation processing and compliance functions for sell-side, retail broker-dealers. StreamCore: A data management framework that normalizes and consolidates data from disparate applications into a single repository that can feed any system. Valdi: Provides market data for global markets, helping firms to build instrument-specific trading strategies. 18 MARKET DATA Industry Commentary Financial institutions need cost-effective, high-quality data, news and analysis to feed everything from desktops to trading engines and risk models. However, exponential increases in market data volumes make access to real-time data more complex. Regulatory requirements are driving the need for more data and reporting, while traders, investors and risk managers are demanding real-time and historical data for analyzing trends in both existing and emerging markets. How Can SunGard Help? SunGard's high-quality data helps customers make intelligent trading and investment decisions and meet business goals, while a modern and reliable delivery infrastructure provides flexibility, confidence and cost control. SunGard provides in-depth, high-speed, global market data and tools to power research, trading, position keeping, risk management, portfolio management, advisory desks and compliance. Primary Solutions Astec Analytics: A suite of market information solutions that provides analytics and benchmarking tools for the securities finance industry. MarketMap: A suite of global market data solutions that provides real-time price information, news and analysis, financial calculators and integration tools for decision support. Valdi: Provides market depth and a consolidated ticker plant for processing and transmitting market data to front-end trading products. 19 SunGard Solutions for WHOLESALE FINANCE "We have a long history of partnership with SunGard for order management, trading capacities and client connectivity. We are happy at OCBC Securities that because of the partnership with SunGard we have been able to remain competitive with even more sophisticated execution services." Hui Yew Ping, managing director, OCBC Securities 20 ORDER MANAGEMENT, TRADE EXECUTION & CONNECTIVITY Industry Commentary Institutions must navigate fragmented liquidity in the face of heavy regulatory oversight. Trading venues now offer both displayed and non-displayed liquidity, each with specific rules and intricacies. Not only are institutions challenged to find best execution and risk management best practices, but they are also confronted by increased trading costs as they compete for the same commissions, earnings and returns they sought several years ago. How Can SunGard Help? SunGard helps buy- and sell-side institutions improve performance, reduce costs and find revenue opportunities. From low-latency connectivity to high-performance order execution and risk management, SunGard's solutions provide efficiency throughout the trade lifecycle, with access to multiple trading venues, asset classes and liquidity sources. Primary Solutions BondOne: A real-time fixed income market-making and order management solution. Fox River Execution: Provides high-performance, customizable execution algorithms. Front Arena: An integrated, global position control and electronic trading infrastructure for listed and OTC instruments including complex structured products. MarketMap: A suite of global market data solutions that provides real-time price information, news and analysis, financial calculators and integration tools for decision support. SGN Securities: Provides multi-asset order-routing capabilities worldwide. Sierra: A suite of FX and treasury solutions for buy- and sell-side financial institutions. Valdi: A solution suite for exchange-traded equities and multi-asset listed derivatives that provides pre-trade risk, order management and execution management. 21 SunGard Solutions for WHOLESALE FINANCE POSITION MANAGEMENT Industry Commentary It is increasingly difficult for firms to gauge exposure and offset risk across disparate trading and position management platforms. As a result, today's key requirement is greater control across trading risk, operations, trade processing and system security. How Can SunGard Help? SunGard helps firms gain transparency into global positions and risk management requirements, from pre-trade analytics, limits and risk to final settlement. Our solutions provide a position control infrastructure that delivers a holistic view of client and proprietary positions in order to monitor exposures, and reduce cost and risk. Traders can distribute inventories to multiple distribution channels, helping to improve real-time control over filling orders, reveal market and counterparty risks, test a position's sensitivity to them and roll out new products. Primary Solutions Apex: A front-to-back securities finance solution providing real-time position management, flexible trade entry and trade and operational lifecycle support. BondOne: A fixed income solution that provides integrated OMS and position management, including profit and loss and intra-day risk calculations. Front Arena: An integrated global position control and electronic trading infrastructure for listed and OTC instruments including complex structured products. Sierra: A suite of FX and treasury solutions for buy- and sell-side financial institutions. StreamCore: A data management framework that normalizes and consolidates data from disparate applications into a single repository. Valdi: Provides a consolidated view of trading across global markets, offering comprehensive access to positions and risk management. 22 SECURITIES FINANCE Industry Commentary Securities lending brings vital financing and liquidity to financial markets. The industry is now placing emphasis on ensuring that the rewards achieved are always commensurate with risks taken, which is driving the need for enhanced measurement and reporting. Institutions also need to comply with regulations in a timely and efficient manner. The breakdown of silos between equities and fixed income, as well as an increased focus on cost reduction and operational efficiency, is leading to a major shift towards automation and system consolidation. How Can SunGard Help? SunGard provides a comprehensive suite of securities finance solutions that automates everything from trade initiation to final return analysis, including order routing, trading, position management, operations, accounting, settlement, transaction analytics and benchmarking, and trade automation services. With more than 20 years of experience in the industry, SunGard supports a global network of securities finance professionals. Primary Solutions Apex: A solution providing global, real-time position management, flexible trade entry and a full range of trade and operational lifecycle support, for global equity and fixed income securities lending and repo needs. Astec Analytics: A suite of market information solutions that provides analytics and benchmarking tools for the securities finance industry. Loanet: An equity finance solution serving the US broker-dealer community, providing automation for all participants in securities lending. Global One: A multi-currency system for international securities lending, supporting both borrowers and lenders. Martini: A trading system for bond and equity financing used by investment banks, broker-dealers, hedge funds and other investment funds. 23 SunGard Solutions for WHOLESALE FINANCE POST-TRADE SERVICES Industry Commentary The capital markets industry continues to be more electronic, global and regulated, with new capital and margin requirements and reporting rules. This requires financial institutions to address operational efficiencies and explore ways to reduce costs. With growing volumes, a more complex clearing process and declining commission rates, institutions must streamline post-trade processing globally, consolidate data silos and improve post-trade communication between the buy-side and the sell-side. How Can SunGard Help? SunGard's solutions help streamline the post-trade infrastructure and cut operational complexity, risk and cost. Institutions can fully automate middle- and back-office functions such as trade processing and confirmation, clearing and settlement, recordkeeping and accounting. Centralizing data and communications across the enterprise and across counterparties helps to increase transparency and reduce risk and exposure. SunGard's global platforms handle multi-asset class and multi-currency processing and settlement, bringing automation, efficiency and transparency into the global post-trade process. 24 Primary Solutions Cliq: A post-trade derivatives utility that connects the buy- and sell-sides and helps enable Web-based access to consolidated, real-time information. Fox River Execution: Offers comprehensive, sophisticated, post-trade reports that provide a detailed analysis of trading activity. Stream: An integrated suite of post-trade operations and downstream connectivity solutions that help automate and manage trade processing and confirmation, clearance and settlement and recordkeeping and accounting functions. Stream's solutions for derivatives operations: Provide real-time matching, clearing and accounting automation and workflow STP for exchange-traded and settled derivatives. Key solutions include Stream GMI, Stream Ubix, and Stream Clearvision. Stream's solutions for operations control and connectivity: Deliver a mix of cross-asset and niche applications to help firms better understand and control their exposure, risk and trading activity across different markets. Key solutions include StreamCore for data management; Stream Gateways for connectivity; and a range of applications, such as Stream Brokerage Billing and Stream InTrader, which help to provide workflow STP, automation and control for specific areas of the post-trade infrastructure. Stream's solutions for securities operations: Provide real-time post-execution and settlement processing for global securities operations, across multiple markets and instruments. Key solutions include Stream Phase3 and Stream RIMS. SGN Securities: Order routing for 100+ global derivatives, equities and fixed income markets, while providing trade allocations, settlement notifications and SWIFT messaging. Valdi: Clearing and settlement services to US and international cash equities and options firms. 25 SunGard Solutions for WHOLESALE FINANCE "Adaptiv Risk Cube is a crucial component to providing a better explanation of our P/L and Monte Carlo VaR analysis. It's a major contributor to our internal model approval process, which is supposed to help us to benefit from substantial regulatory capital savings." Dr. G�nter Fiebach, head of risk analytics & market risk control, Deutsche Postbank 26 RISK MANAGEMENT Industry Commentary New waves of global regulation mean that it has never been more challenging � or important � to control credit and manage counterparty exposure and collateral. Data integrity, risk aggregation and intra-day monitoring are also major issues due to system constraints. While senior management needs accurate, real-time information, risk managers are looking for a robust and consistent risk production process in order to focus on understanding the big picture rather than fixing errors. How Can SunGard Help? SunGard's credit and risk management solutions provide real-time insight into credit and market exposures. Advanced risk measures come with built-in alerts and limits and a consistent framework that helps simplify deployment and allows staff to strengthen core competencies. From vanilla exchange-traded to the most intricate OTC deal, no risk factor remains hidden and no P&L item is unexplained. A unified, enterprise-wide view of risk gives managers peace of mind and helps institutions effectively manage risk, credit and collateral. Primary Solutions Adaptiv: An enterprise-wide credit and market risk management solution suite for global financial institutions. Front Arena: An integrated, global position control and electronic trading infrastructure for listed and OTC instruments including complex structured products. StreamCore: A data management framework that normalizes and consolidates data from disparate applications into a single repository that can feed any system. Valdi: Provides pre-trade risk management for equities and listed derivatives worldwide. Stream Instant Control: A post-trade risk management solution for listed and OTC derivatives that provides accurate monitoring of trading activity with real-time information, calculation and alerts. 27 SunGard Solutions for WHOLESALE FINANCE IF YOUR ROLE IS... AGENCY BROKER, PRIME BROKER, INSTITUTIONAL AND RETAIL BROKER AND YOUR NEEDS ARE... � Real-time market data � Order, risk and liquidity management � Algorithmic and DMA execution � Fees and brokerage management � Margin credit risk and total equity � Real-time views of post-trade activity � Quantitative modeling � Margin exposure and credit risk management � FIX connectivity � Compensation management FX & MO NE IN YM TE R AR ASSET MANAGER, FUND MANAGER OR HEDGE FUND MANAGER SE RE C PO LE / N BROKER-DEALER DI � Algorithmic and DMA execution � Connectivity services � Post-trade solutions S � Market and credit risk management A LE SS � Securities Lending S RE NG data � Real-time market T KE TS S SA LE S NG F TA MR LOW A RK RI DIET SKNG � Analytics � Real-time post-trade activity PR � Trade execution and order management O and I'S � Treasury P investment portfolio management R TR securities processing KP � Real-time A IE DI TAR � Intra-day margin calculations T LY IC S FIX COMPLIANCE MANAGER ED IN CO GE MA RK ME RI ET NT SK FUTURES CLEARER RI CR E RI D INTERDEALER BROKER SK M DATA MANAGER ME MA CR R MA K ED E RI KIN T S G NO COPIT � Compliance, surveillance and supervision programs E A C � Risk analytics � Trade monitoring, auditing and reporting � Social Media surveillance and archiving � Data storage and management � Market data terminal and feed NG Y ST R M � Middle- and back-office operations � Fees and brokerage management AN � Options managementC E � Intra-day margin calculations R CO IN TE DE RE NO S RIECOPIT VAT R CA I TV E SK AN AG EM � Market data terminal and feed Rprocesses � Cross-asset capabilities for trading and STP E UL PO AT � Automatic netting O EN T CO Valdi Brokerage Services offered in the United States and Canada are provided by Assent LLC, Member NYSE and other Principal Exchanges / SIPC http://www.sipc.org. SGN Brokerage Services offered in the United States are provided by SunGard Institutional Brokerage Inc., Member FINRA http://www.finra.org / SIPC http://www.sipc.org. MP RT R IN Y G LIA NC E 28 RE G RE UL PO AT RT O IN G OUR SOLUTION IS... � Adaptiv � Apex � Astec Analytics � BondOne � Cliq � Fame � Front Arena � Fox River Execution � Loanet � MarketMap � Protegent S � SGN Securities CE OR RI � Sierra UT P IB R � Stream NT � Valdi ATA S R O RN C AL IZA TIO N � Adaptiv � Apex � Astec Analytics � Cliq � Fame � Fox River Execution � Front Arena � Astec Analytics � Apex � BondOne � Cliq IT D / � Front Arena INS EV ET RN TE INNT DEN � GlobalOne IO EN EP AT GE � Martini ND LU AN CE � MarketMap H A VA � SGN SecuritiesXC RF D E TE � Sierra LE IN TT ES � Stream ST SE IC � Valdi RU PR CT CR U ED RE � Loanet CR IT D � DE Sierra E � Stream � Valdi D DO EN V RI IC OML TA WA EL HO PS OP US ME E NT � Adaptiv � Apex � Front Arena � Loanet VADIT TIV ES � Fame C IIRTUR CD ED OML � Adaptiv TA � Stream RU � Astec Analytics AT ES E � MarketMap � Stream Valdi Execution Services and SGN Brokerage Services offered throughout Europe, the Middle East, Africa and Asia Pacific are provided by SunGard Global Execution Services Limited which is authorised and regulated by the Financial Services Authority, No. 469919 . Incorporated and registered in England and Wales No. 3127109 . Registered Office: 25 Canada Square, London E14 5LQ. SunGard Global Execution Services Limited (ARBN No. 132 508 742) is exempted from licensing under Australia Securities & Investments Commission Class Order 03/1099 and is regulated by the Financial Services Authority under UK laws, which differ from Australian laws. F & UTU OP RE L TIO S RA T NS � MarketMap EN CL EA � ValdiL EM OLAG MA NE C N P RG R BR RIM RAD I S MA T FEE N OK E- K D E EX ERIS RS ND CH TY MA EP AN EX DI GE E R EN UI K VECUT KET DE S IS NU IV R CU DANT L E E ST TA RA T S OM TE EN LAER EM OLAG S C N MA � Sierra � Protegent � Valdi A TR E- ISK R DE ITY ID U K LIQ IS R 29 SunGard Solutions for WHOLESALE FINANCE IF YOUR ROLE IS... MARKET MAKER AND YOUR NEEDS ARE... G N DI ES A � Pricing TR C � Mass quotingV I R � Ultra-low latency execution services SE � Program/automatic trading � Hedging and risk management � Position keeping � Trade and order management � Direct market access � Liquidity management CO NV E WA R T IENG L IN AC RA OPERATIONS MANAGER � Real-time views of post-trade activity across counterparties � Books and position recordkeeping and reconciliation reports � Treasury and investment portfolio management � Real-time securities processing NT S A TR LG AD O IN BR MANAGER RISK PR G OK IME ER AG E TIO ES NA � Data storage and management � Reference data � Risk measurement and analysis � Counterparty credit risk, market risk and enterprise risk management � Limits management � Collateral management L SECURITIES LENDING MANAGER, SECURITIES FINANCE MANAGER, REGULATORY R E AND COMPLIANCET SA AI MANAGER L RE ANSE financing, lending and matching � SecuritiesA AL RC � Books and records YS H � Cross-exchange support T data discovery � Price and marketS & � Analytics � Benchmarking and performance analysis � Agency Lender Disclosure � 15c3-3 Rule (customer protection) � Positions management � Trade execution and order management S TRALE AD S IN G LE S A TR E NTRVIC IE CL SE NG DI S R MAATA D TRADER, T PROP TRADER, KE FLOW TRADER CR E RI DIT SK 30 � Pre-deal credit checking � Best execution � Direct market access � Deal capture and risk management � Liquidity management � Valuation models � FIX connectivity � Trade and order management � Transaction cost analysis � Pre-trade pricing � Scenario analysis � Position, P&L, Greek and VaR reporting � Algorithmic and DMA Execution B OS T O & RROC LE ND SY ND IC AT IO N M OUR SOLUTION IS... � BondOne � Front Arena � Kiodex � Sierra � Valdi ER TIB LE S DE LIS RI TE VA D TIV E DE O RI TC VA TIV E S IN TE RN � Adaptiv � Cliq � Front Arena � Protegent � Sierra � Stream AL S PR OP TR RIE AD TA IN RY G � Adaptiv � Fame � StreamCore IZA TIO ST R PRUC ODTUR UC E TS N BAPRO SK G ET RA TR M & AD IN G � Apex � Astec Analytics � Loanet E MA MARK KI ET NG CK W DI ING NG � BondOne � Front Arena � Fox River Execution � Kiodex � Sierra � Valdi N ME E E AG NC N A MA PLI SK M RI CO & T SE NE LL TW S RE O TA IL FL OR OW DE R CO RY TO G A ULRTIN G REEPO R AL ER NT AT E L LG E M CONA MA 31 SunGard Solutions for WHOLESALE FINANCE "With SunGard we have a single integrated platform that lets us manage and control our diverse portfolio and deliver fast, accurate answers to management." Krishnan Kasiviswanathan, chief risk officer, NRG Energy 32 ENERGY & COMMODITIES MORE THAN 400 COMPANIES RELY ON SUNGARD TO HELP THEM TRADE, PRODUCE, TRANSPORT, ACCOUNT FOR AND MANAGE A RANGE OF BUSINESS RISKS ASSOCIATED WITH ENERGY, METALS AND AGRICULTURAL COMMODITIES. Industry Commentary Increased regulation of energy and commodity transactions and emissions and the demand for greater transparency are driving companies to adopt or improve risk management and reporting systems. Global competition, supply and demand challenges and real-time business environments require improved process efficiency across the value chain. How Can SunGard Help? SunGard helps energy companies, large corporate users, hedge funds, banks and futures commission merchants to compete efficiently in global energy and commodity markets by helping streamline and integrate the trading, risk management and operations of physical commodities and their associated financial instruments. SunGard's data analysis tools help improve the speed and ease of optimizing portfolios by assessing risk exposure, conductivity, alpha tests and identifying market opportunities. Primary Solutions Aligne: A suite of pre-integrated trading, risk management, scheduling, logistics, accounting and reporting components that is highly configurable to support complex energy transactions. Fame Energy: A provisioning and management solution for data aggregation, storage and analysis. Kiodex: A Web-based trading and risk management solution with real-time exchange connectivity for commodity traders. 33 OPERATIONS & ASSET MANA SunGard Solutions for WHOLESALE FINANCE IF YOUR ROLE IS... ENERGY TRADER AND YOUR NEEDS ARE... � Trading � Deal entry ASSETS � Nominations � Scheduling � Position, P&L, Greek and VaR reporting � Managed data service COMMODITIES TRADER CT T RAMANAGER T M N NRISK E COAGE N MA CO CFO MA NT NA RA GE CT ME NT DATA MANAGER � Pre-trade pricing � Valuation models � Scenario analysis � Deal capture and risk management � Position, P&L, Greek and VaR reporting � Risk controls � Asset management � Portfolio management � Front- and middle-office solutions � Financial applications � Billing � Back-office solutions � Enterprise data management � Decision support � Advanced analytics ED TL S T SE ICE PR EP NDRK I MA PL GAS PIPELINE OR STORAGE OPERATOR POWER GENERATOR OP AN ER AT IO � Nominations � Capacity release � Inventory and imbalance management NI NG NS SC � Fuels management solutions � Budgeting and purchasing liquid and solid fuels � Tracking and accounting for liquid and solid fuels HE DU LIN G EM EN T AL LO CA TIO AN AG EM EN T NS IN MA VE NA NTO GE RY ME NT ME NT SE T 34 AGEMENT OVERVIEW OUR SOLUTION IS... � Aligne � Kiodex T EN ND TA PET DA KE � Aligne RP ES � E AC Kiodex L NA RF N E TIO ES INT TIO RAFAC E UC OPTER OD STS R A � AligneIN D/P EC � Kiodex A R � Fame Energy LO FO � Aligne � Fame Energy A TR N O SP RT EM IS SIO NS � Fame Energy � Kiodex & GE Y RA OR TO NT S VE IN LE N ME T C AC O � Aligne S& AL Y TU LIT AC UA Q � Aligne S T ET C AC LE N ME T OU IN NT G SC AD A TT 35 SunGard Solutions for CONSUMER FINANCE "The new trends influencing our business are the internet, e-banking and mobile banking. We chose SunGard as our business partner because of their rich solution suite and experience in Swiss private banking." Thierry Moss�, executive director, CIM Banque, Geneva 36 BANKING SUNGARD'S AMBIT SERVES MORE THAN 800 BANKS IN OVER 70 COUNTRIES. Industry Commentary Banks worldwide are going back to basics. They are seeking to deepen relationships with their most profitable clients, improve operational efficiencies and remain agile so that they can respond quickly to market and client demands. For many banks, their focus is better management of their customers, capital and staff. How Can SunGard Help? SunGard provides core processing solutions and a centralized view of the client relationship with the bank as well as analytics for liquidity, risk and profitability. This helps the bank become well managed and enables it to be both prudent and strategic in decision-making, to maximize returns and enhance the client experience. The Ambit solution suite provides a comprehensive core banking solution and best-of-breed point solutions for retail, commercial and private banking, straight-through enterprise processing, treasury management, finance, risk and performance. Each functional component can be delivered using SunGard's Infinity Process Platform which means customers can use a SOA approach to align their existing technology with their business priorities. Primary Solution Ambit: A solution for retail, commercial and private banks that supports front-, middle- and back-office operations, as well as financial management, risk and compliance. 37 SunGard Solutions for CONSUMER FINANCE IF YOUR ROLE IS... ASSET/ LIABILITY MANAGER AND YOUR NEEDS ARE... � Model customer behavior, bank strategy, interest rate scenarios � Share market assumptions with budgeting teams � Improve analysis and planning � Improve working capital and increase visibility � Corporate governance and attestation � Enterprise-wide efficiency � Compliance and risk mitigation � Data aggregation � Advisor productivity, client profiling, quality of practice � Attract and retain customers � Holistic and consultative client experience � Unified wealth management platform � Client management � Regulatory compliance management � Consolidation across geographies � Straight-through processing � Integrated compliance and risk mitigation � Enterprise-wide view of risk � Aggregated data for accurate analysis � Asset/liability management � Channels integration strategy � Customer centricity � Core banking � Straight-through processing � Treasury and liquidity management � Retail/Wholesale loan processing � Payments facilitation across geographical borders � System scalability to support large transaction volumes � Business process orchestration � Enterprise infrastructure integration � Centralized operations and STP � Sharia'h-compliant cards and payments products/services � Islamic banking risk and regulatory compliance management � Treasury and liquidity management in accordance with the Sharia'h � Integrated branch and channels strategy � Conformity to international best practices � Secure and profitable card operations � Quick go to market with debit and credit card products � Card loyalty programs � Cash management and forecasting � Integrated view of cash exposures � Detailed reporting for: financial risk, liquidity, interest rate movements, FX movements and credit risks CFO COMPLIANCE OFFICER INVESTMENT ADVISOR PRIVATE BANK MANAGER RISK MANAGER RETAIL/COMMERCIAL BANKING MANAGER CTO ISLAMIC BANKER CARD CENTER MANAGER TREASURER 38 OUR SOLUTION IS... � Ambit Risk & Performance Management & TS ES ENRVIC YM PA E SE AD TR � Ambit Corporate R RE PO Banking � Ambit Risk & Performance Management & CAT TS EN E AT DIT C R CONG & DI N LE SH SI EM PO G DE ANA M SS INE N US IGE C B L I EL LYT INT NA A & RY SU G EA DIN TR RA &T � Ambit Private Banking � Ambit Private C Banking US SE TOM RV E ICE R S � Ambit Risk & Performance Management E-C N HA NE LS � Ambit Retail Banking � Ambit Corporate Banking OP & IT IO AT ER � Ambit Risk & Performance Management � Ambit Corporate Banking � Ambit Retail Banking � Ambit Risk & Performance Management � Ambit Corporate Banking � Ambit Retail Banking � Ambit Corporate Banking 39 SunGard Solutions for CONSUMER FINANCE "What we like most about SunGard is their responsiveness to the changing needs of our business and the changing needs of the industry." Kim Craig, president and chief executive officer, F.N.B. Wealth Management 44 WEALTH MANAGEMENT MORE THAN 100,000 ADVISORS USE SUNGARD'S WEALTH MANAGEMENT SOFTWARE. Industry Commentary New regulations and savvy investors are placing increased pressure on wealth and benefit managers to help their clients plan for their financial future. Wealth management firms are looking for new ways to serve their clients, differentiate themselves and grow � while improving efficiencies, reducing costs and managing risk. How Can SunGard Help? SunGard provides the integrated solutions, consulting services and global networks to help customers grow their businesses, while increasing efficiencies and reducing costs. SunGard's solutions help build investor confidence by providing advisors with a holistic view of holdings as well as supporting new regulatory requirements. Primary Solutions AddVantage: An asset management, trust accounting and securities processing solution for large- and medium-sized banks and investment management firms in the US. Charlotte: A trust accounting and investment management solution for community banks, independent banks and trust companies. Global Plus: A Web-based asset management and custody solution. Omni: A suite of retirement plan administration solutions for domestic and international plans. Relius: A retirement plan recordkeeping solution used by third-party administrators, banks, insurance companies, CPAs and corporations. SunGard Global Network (SGN): A trade automation and connectivity solution that links institutions throughout the financial services value chain and facilitates the purchase and sale of many securities types. WealthStation: An integrated wealth management platform for client management, data aggregation, financial planning, investment management asset allocation, trading, rebalancing and reporting. 45 SunGard Solutions for CONSUMER FINANCE IF YOUR ROLE IS... ASSET MANAGER AND YOUR NEEDS ARE... � Investment management � Trade management and connectivity � Trust and portfolio accounting � Constituent portals � Plan administration/recordkeeping � Fund processing and custody BENEFIT PLAN ADMINISTRATOR CORPORATE TREASURER CUSTODIAN � Trade analytics CO & E SKANCinvestment portal � Multi-currency RI LI � Investment tracking and reporting MP TIO RAIT E � Multi-currency investment accounting � Automated cash management OP & � Trade management and connectivity � Financial planning and asset allocation � Investment management � Trading and rebalancing � Benefit administration � Advisor and client portals � Financial planning and asset allocation � Investment management � Trading and rebalancing NS INSURANCE AC SE CE INVESTMENT ADVISOR RV SS IC E INVESTMENT PROVIDER F P PRIVATE BANK MANAGERS AC CL QUIEN ISI T TIO � Financial planning and asset allocation � Trade management and connectivity � Distribution network � Compliance monitoring � Investment management � Trading and rebalancing � Portfolio accounting N RETAIL BROKER � Advisor and client portals � Financial planning and asset allocation � Investment management � Trading and rebalancing � Advisor and client portals � Trade management and connectivity � Trust and portfolio accounting � Custody administration � Advisor and client portals � Financial planning and asset allocation � Investment management � Trading and rebalancing TRUST OFFICER WEALTH MANAGER SGN Brokerage Services offered in the United States and Canada are provided by SunGard Institutional Brokerage Inc., Member FINRA/SIPC. SGN Brokerage Services offered throughout Europe, the Middle East, Africa and Asia Pacific are provided by SunGard Global Execution Services Limited which is authorised and regulated by the Financial Services Authority, No. 469919 � Incorporated and registered in England and Wales No. 3127109 � Registered Office: 25 Canada Square, London E14 5LQ. 46 OUR SOLUTION IS... � AddVantage � Charlotte � Global Plus � Omni � Relius � SGN � SGN � SGN � WealthStation C TR AD IN TR E NN O G � Global Plus � SGN FIN PL AN � WealthStation AN CIA NI L NG � SGN IN MAVES NA TM � Omni GE EN � Relius ME T � SGN NT � WealthStation AG D GR ATA EG AT IO W RE EA PO LT RT H IN G N � AddVantage � Charlotte � Global Plus AL AS � SGN LO SE � WealthStation CA T TIO N � WealthStation AD � AddVantage � Charlotte � Global Plus � SGN � WealthStation V Y OR IS � AddVantage � Charlotte � Global Plus � SGN � WealthStation SunGard Global Execution Services Limited (ARBN No. 132 508 742) is exempted from licensing under Australia Securities & Investments Commission Class Order 03/1099 and is regulated by the Financial Services Authority under UK laws, which differ from Australian laws. 47 SunGard Solutions for CORPORATE LIQUIDITY "SunGard's AvantGard Receivables provides efficient management of a decentralized structure. In the transportation business, efficient management of claims and disputes is crucial for good financial results and customer satisfaction." Alain Aksil, director of corporate credit, GLS France 48 CORPORATE LIQUIDITY OVER 2,500 COMPANIES IN 40 COUNTRIES USE AVANTGARD TO HELP MANAGE LIQUIDITY AND RISK. Industry Commentary The corporate commercial ecosystem is very inefficient due to a lack of data transparency, a heavy reliance on manual processes and poor connectivity between trading partners. How Can SunGard Help? SunGard provides automation and workflow solutions to help CFOs and treasurers drive maximum value from working capital, improve visibility to cash and manage risk. It provides visibility into cash flow for real-time monitoring, while automated processes help increase operational controls on treasury, receivables and payments. Further, the AvantGard solution suite provides connectivity across the corporate commercial ecosystem to help streamline interaction between corporations, banks and other trading partners. Primary Solution AvantGard: A liquidity management solution for corporations, insurance companies and the public sector that provides visibility into cash flows and operational control of treasury, receivables and payments. 49 SunGard Solutions for CORPORATE LIQUIDITY IF YOUR ROLE IS... TREASURER AND YOUR NEEDS ARE... � Cash flow monitoring, budget preparation and compliance with accounting standards � Cash positioning and forecasting � Foreign exchange and short-term investing and borrowing � Capital market activities management � M&A activity and insurance and pension programs � FX and interest rate hedging � Centralized view of cash flows � Automation and workflow across the order-to-cash and cash management functions � Visibility to trade receivables and corporate credit risk CFO CREDIT & COLLECTIONS PROFESSIONAL � Less labor intensive credit management processes � Automation, collaboration and system integration to regain control of accounts receivables � Visibility of corporate credit risk exposure and SK RI N accurate cash forecasting IT IO � Reduced operational costs and requirements to ED AT R LIT meet Sarbanes-Oxley compliance C I � Reduced DSO, past due A/R and bad debt expense AC F ACCOUNTS PAYABLE PROFESSIONAL DS EE AF AT D TA DA DIT E S CE CR CIE AN EN ITT AG EM R N IO CT RS LE ME OL C O ST CU � Streamlined payments workflow and approval � Payment execution � SWIFT connectivity BU SIN � Check printing E � Check to ACH migration MA SS W � Check to V-card migration NA O � Electronic payments R AP GE K ME FLO NT W 50 OUR SOLUTION IS... � AvantGard � AvantGard T C O2 ING K C RA M E EA IC S T ERV LE S SA MER O ST ST CU D R EC ATE ISI GI ON C IN G � AvantGard K N D RE ISP SO UT LU E TIO � AvantGard N PPCAS LIC H AT IO I CT LE EM L CO NAG MA N 51 SUNGARD GLOBAL SERVICES "Streamlining our key customer services processes using SunGard's solutions delivered increased productivity, greater transparency over workload and performance and allowed us to optimize resource management." Martin Reichenbach, head of customer service, Degussa Bank 52 GLOBAL SERVICES Industry Commentary Proactive businesses are capitalizing on the emerging and unintended consequences of market and regulatory changes. CIOs will look to increase efficiencies and drive transparency with streamlined, end-to-end business processes and more integrated information management across the enterprise. How Can SunGard Help? SunGard Global Services combines business consulting, technology and professional services for financial services firms, energy companies and corporations. Leveraging SunGard's global delivery model, more than 5,000 employees worldwide help customers manage their complex data needs, optimize end-to-end business processes and assist with systems integration, while providing full application development, maintenance, testing and support services. Primary Services Business Consulting: Assistance in strategy setting, process reengineering, business process management improvement and risk and regulatory compliance. We combine business and technical knowledge with program management and analysis capabilities to provide project coordination, governance and stakeholder management. We assess business-critical data, processes and systems and provide project management, business analysis, software development, integration and testing support to help our customers streamline end-to-end business processes. Services: Advisory, business process management, risk and regulatory management, program management, business analysis. 53 SUNGARD GLOBAL SERVICES 54 Primary Services Technology Consulting: Custom application development, systems integration of off-the-shelf and custom solutions, information management services that manage and distribute data across diverse platforms as well as comprehensive testing services to help our customers enhance quality and accelerate delivery of implementations and upgrades. Our advanced technology capabilities specialize in applying new technologies to customer problems using a broad set of leading-edge technology skills, such as cloud computing, noSQL/Big Data, mobile applications and hardware acceleration. Services: Custom application development, systems integration, advanced technology, information management, testing. Managed Services: Portfolio assessments of operations, transition management of application portfolios from existing vendors and in-house staff, full service 24/7 maintenance and production support, as well as support for mission critical software and infrastructure to keep systems running smoothly and help improve operational efficiency. SunGard's global delivery model helps customers leverage highly skilled delivery teams in secure onshore and offshore locations to support business operations. Services: Application management services, infrastructure management services, business process outsourcing (BPO). 55 SUNGARD GLOBAL NETWORK 56 SUNGARD GLOBAL NETWORK 30 HUBS 120 MARKETS 500 BROKERS 2,000 ASSET MANAGERS The SunGard Global Network (SGN) addresses the connectivity challenges of trading new instruments and venues, shifting investment strategies and regulatory changes, for over 2,500 financial institutions worldwide. SGN supports global, multi-asset class institutional trading, by connecting sell-side and buy-side firms, as well as exchanges and ECNs. It can increase a firm's operational efficiency by helping automate the electronic purchase and sale of a wide range of financial instruments, delivering end-to-end trade management. SGN Securities SGN Securities provides order routing for 120+ global derivatives (futures and options), equities and fixed income markets, and assists in automation of the entire trade lifecycle. Customers can also obtain access to real-time market data from over 120 exchanges and trading venues worldwide, fully integrated into our trading workstations and client application interfaces. ASP-hosted market connectivity is provided for members on over 100 markets. Brokers with extensive FIX connectivity to clients and other networks can also take advantage of the FIX Network Service for the complex technical management tasks involved in administering these connections. SGN Securities services include message validation, normalization, enrichment and transformation, which help relieve customers of the initial and ongoing burden of supporting changing message protocols, OMS/EMS deployments and requirements for new capabilities. 57 SUNGARD GLOBAL NETWORK Americas hubs Chicago Mexico City New York Santiago S�o Paulo Toronto Europe - Middle East & Africa hubs Brussels Frankfurt Geneva Istanbul Johannesburg Lisbon London Luxembourg Madrid Milan Moscow Paris Tel Aviv Warsaw Zurich Asia hubs Bangkok Hong Kong Jakarta Kuala Lumpur Seoul Shanghai Singapore Sydney Taipei Tokyo Planned hub SGN Brokerage Services offered in the United States and Canada are provided by SunGard Institutional Brokerage Inc., Member FINRA /SIPC. SGN Brokerage Services offered throughout Europe, the Middle East, Africa and Asia Pacific are provided by SunGard Global Execution Services Limited which is authorised and regulated by the Financial Services Authority, No. 469919 � Incorporated and registered in England and Wales No. 3127109 � Registered Office: 25 Canada Square, London E14 5LQ. SunGard Global Execution Services Limited (AR BN No. 132 508 742) is exempted from licensing under Australia Securities & Investments Commission Class Order 03/1099 and is regulated by the Financial Services Authority under UK laws, which differ from Australian laws. 58 SGN Short-Term Cash Management SGN Short-Term Cash Management is a global, multi-currency trading and connectivity solution for institutional short-term liquidity investors. It is utilized by treasury and investment specialists at corporations, hedge funds, public utilities, governments, colleges and universities. SGN Short-Term Cash Management provides the ability to research, analyze, trade and report on hundreds of money market funds and short-term cash investments through a single connection. Through a fully disclosed trading model, SGN Short-Term Cash Management helps ensure that customers are able to retain their relationships with the fund providers. SGN Short-Term Cash Management integrates seamlessly with treasury management systems enabling a fully automated process � from price discovery, to trade execution and the facilitation of wire transfers. SGN Funds SGN Funds is an automated trade-routing solution, connecting investors and intermediaries to providers of mutual funds, exchangetraded funds, bank collective funds, UCITS and other separately managed investments. By providing a single source for trading, settlement, reconciliation and income collection, SGN Funds connects investors to more than 20,000 funds around the globe. TH E TR IRD C U O S P SY RD T AR ST KE an TY E EP d M I S N G C A H G DD AR LO V LO B AN T A T TE L A , P G LU E S & OM R N E I LI U S Straight-Through Processing Trade Automation System Integration R N SG ST OD IAN BA NK P FID LA E TF LI O TY R M N SC C S R B G CD L FU O EX N BA IA D L S CU D TR IR E FU AD C T N ED D S R E T IN IRE C M O E M N E T S ND FU iS h E ar TF es s 59 SUNGARD'S GLOBAL PRESENCE 60 SUNGARD'S GLOBAL PRESENCE SUNGARD SERVES OVER 1,200 CUSTOMERS ACROSS ASIA, INCLUDING 17 OF THE REGION'S 20 LARGEST BANKS. SunGard is well positioned to support you across the globe. With a solid footprint across North America, South America, Europe, South Africa, the Middle East and Asia. We combine international expertise with local knowledge. Contact Us email@example.com Twitter: @SunGardFS SunGard Financial Systems Main Locations Americas 340 Madison Avenue New York, NY 10173 Europe, Middle East, Africa 25 Canada Square London E14 5LQ United Kingdom Asia-Pacific 71 Robinson Road #15-01 Singapore 068895 Asia-Pacific: +65-6308 8000 Australia & New Zealand: +61-2-8224-0000 China: +86-21-3895-4588 Europe: +44 208 081 2000 India: +91 22 3098 1000 Japan: +81-3-4570-3000 Middle East: +971-4-391-1180 South Africa: +27 11 430 7600 United States: 800-825-2518 61 CONTACT US 62 CONTACT US Asset Management firstname.lastname@example.org Americas: 888-332-2564, 646-445-1018 Asia Pacific: +65-6308-8335 EMEA: +44-20-8081-3300, +33-1-55-39-18-73 Twitter: @SunGardAssetMgt Capital Markets email@example.com Americas: 212-745-9400 Asia Pacific: +65-6308-8000 EMEA: +44-20-8081-2000 Energy & Commodities firstname.lastname@example.org Americas: 713-210-8000 Asia Pacific: +65-6308-8333 EMEA: +44-20-8081-2000 Twitter: @sungardenergy, @kiodex, @fameenergy Banking email@example.com 800-825-2518 Twitter: @SunGardBanking Insurance firstname.lastname@example.org 800-825-2518 Twitter: @sginsurance Wealth Management email@example.com Americas: 800-825-2518 Asia Pacific: +61-2-8224-0000 EMEA: +44-20-8081-2304 Twitter: @sg_wealthmgmt Corporate Liquidity firstname.lastname@example.org 800-825-2518 Twitter: @SGAvantGard Global Services email@example.com Americas: 713-350-1000 Asia Pacific: +65-6308-8000 EMEA: +44-20-8081-2757 63 KEYWORD INDEX Keyword accounts payable actuarial calculations actuary agency broker algorithms asset allocation asset management asset manager back-office benefit administration benefit managers broker-dealer business process management business process outsourcing capital markets cash management clearing and settlement collateral management commodities compliance core banking corporate liquidity counterparty exposure credit risk custodian data aggregation data management direct market access (DMA) ecosystem energy enterprise data management enterprise risk equities financial planning fixed income front-to-back fund administrator Page Number 50 41 42 28 15, 21, 28, 30 45, 46 7, 34, 45 7, 8, 9, 10, 28, 46, 57 7, 9, 24, 28, 34, 37 46 45 4, 8, 18, 23, 28 7, 10, 41, 53 55 13, 14, 24 38, 46, 50, 59 24, 25 17, 30 33, 34 5, 8, 10, 11, 12, 13, 14, 18, 19, 28, 30, 37, 38, 46, 50, 53 37, 38 49, 50 27 17, 28, 38, 50 5, 46 33, 38, 45 17, 18, 22, 25, 27, 34 30 49 32, 33, 34, 35, 53 34 41 21, 23, 25, 27, 57 45, 46 21, 22, 23, 25, 57 22, 41 8, 9, 10 64 Keyword fund manager Fund of Funds futures clearer futures FX hedge fund insurance interdealer broker investment management investor accounting Islamic banker liquidity liquidity and risk liquidity management listed derivatives low latency market data middle-office operational risk options order management OTC derivatives payments pension manager portfolio management portfolio manager position management prime broker private banking private equity receivables reconciliation regulators regulatory compliance regulatory reporting retail banking retail broker retirement plan administration Page Number 5, 7, 8, 28 10 28 33, 57 8, 21, 22, 38, 50 5, 7, 8, 9, 10, 23, 28, 33, 59 5, 41, 45, 46, 49, 50 28 8, 11, 45, 46 9, 10 38 13, 21, 23, 37, 38, 50, 59 37, 49 28, 30, 38, 49 21, 27 30 13, 15, 18, 19, 21, 28, 30, 57 7, 9, 10, 13, 18, 24, 28, 34, 37 7, 17 8, 25, 28, 57 8, 13, 20, 21, 28, 30 17, 27 38, 49, 50 10 8, 15, 19, 28, 30, 34 7, 8 13, 22, 23 28 36, 37, 39 4, 9, 10 48, 49, 50 30, 59 7, 14, 18 14, 38, 53 18, 41, 42 39 18, 28, 46 45 65 KEYWORD INDEX Keyword Page Number risk management 7, 8, 13, 15, 19, 21, 22, 27, 28, 30, 33, 34 risk manager 5, 19, 27, 30, 34, 38 Sarbanes-Oxley 50 securities finance 13, 15, 17, 19, 22, 23, 30 securities lending 23, 28, 30 securities processing 28, 30, 45 Service Oriented Architecture (SOA) 37 Straight Through Processing (STP) 25, 28, 38 surveillance 14, 28 SWIFT 25, 50 third-party administrator 10, 45 trade execution 21, 28, 30, 59 trade lifecycle 13, 21, 57 trade processing 22, 25 trading 5, 8, 10, 13, 15, 17, 18, 19, 20, 21, 22, 23, 25, 27, 28, 30, 33, 34, 45, 46, 49, 57, 59 treasurer 5, 38, 46, 49, 50 treasury 21, 22, 28, 30, 37, 38, 49, 59 trust accounting 45 trustee 10 ultra-low latency 30 wealth management 30, 38, 44, 45 wealth manager 45, 46 The environmental savings for this project by printing with FSC� certified stock are: 11,471 lbs ghg emissions not generated 12 barrels fuel oil unused equivalent to not driving 11,352 miles in an avg. car equivalent to planting 780 trees 66 �2011 SunGard. Trademark Information: SunGard, the SunGard logo and the products listed in this document are trademarks or registered trademarks of SunGard Data Systems Inc. or its subsidiaries in the U.S. and other countries. All other trade names are trademarks or registered trademarks of their respective holders. 67 TRANSPARENCY | EFFICIENCY | NETWORKS CAPITALIZE ON CHANGE SOLUTIONS GUIDE