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MONEYWARE FUNDWARE TM

Comprehensive Investment Compliance Monitoring Solution

August 2011

www.funds-axis.com www.milessoft.com

Overview

MoneyWare FundWare is a sophisticated, flexible technology solution that
seamlessly integrates and automates the asset management lifecycle

Key Features Business Benefits

• Supports multiple currencies and asset classes • Regulatory & Mandate compliance
monitoring
• Portfolio modeling with multi level hierarchies
and classifications • Robust compliance and risk management

• Flexible reporting • Efficient handling of regulatory restrictions

• Comprehensive Audit Trail • Improved Transparency

• Integrated Rules Libraries – UCITS, NURS, QIS, • Supports Conventional , Islamic, Private
QMMF, PAIFs, FAIFs Equity, Hedge and UCITS IV funds


System Overview
Master Configuration
3 1
Funds 2 Exchange
Security Setup Counterparties
Data Countries
Others
Bloomberg, Reuters
& Third Party Providers

FundWare
4 Rules Compliance
Holdings Files Engine Reports

Files from Custodians, Fund Accountants
6

Rules Libraries
5
(UCITS, NURS, QIS,
Short selling etc)

Masters Configuration

Fund Master
Asset classes supported Derivatives Master
• All Fund data • Underlying
• Manager, Umbrella, Scheme, Domicile, Type etc • UCITS Eligibility
• Each funds eligible market list and GAPS > 35% • Tick size, tick value, contract months etc
list

Security Master Counterparty Masters

• All Security reference data • Credit Rating
• UCITS Eligibility data • Approved UCITS OTC Counterparty – 5%, 10%
• E.g. Funds – • Approved deposit taker
• open / closed
• is UCITS?
• 10% in other funds etc? Index Masters
• Index – UCITS eligibility, diversification etc
Issuer Master • Components, including weightings
• Issuer, Parent Issuer & Ultimate Parent
• Issuer domicile Exchange Master
• Issuer credit ratings • UCITS Eligible Market
• Issuer sector • Central Counterparty etc


Securities Data

 Published list of all required data fields

 Bring in data from multiple data sources

 Flexibly add new data attributes, optional master data mapping etc

 Data scrubbing / validation controls

 Custom designed data quality query reports

 Easy securities data maintenance plus audit trail.

Telekurs (Optional)

 Integrated data feed from Telekurs also available. (Securities, Issuer, Credit Ratings & Sectors)

 UCITS Asset Eligibility Check + de-composition report


Holdings & Transactions

 Transactions and / or Holdings

 Published list of holdings attributes required

o Including for different derivative types

 Multiple import files capability

o Fund accounting, custody, stock lending, collateral, trades


Rules

 Comprehensive Rules Wizard

 Easy coding – e.g. for look through of derivatives

 “Warning” limits

 Range of pre-defined rule libraries also available

o Regulatory Rules

o Common Mandate Results

o Data Quality Rules


Rules Libraries

 UCITS investment compliance monitoring

 All UCITS Rules

 Derivatives global exposure & counterparty risk

 Master / Feeder

 Liquidity Risk Monitoring

 UCITS Internal Risk Limits System

 Fully documented by Funds-Axis, including:

o Rules, fund attributes, data attributes, exposure calculations, defaults

 To also include: NURS, QMMF, QIS etc


Rules Libraries

 Global Regulatory Disclosures

 Supports comprehensive monitoring capabilities for global regulatory investment disclosures for
over 50 countries

 Includes compliance for

o European Union Transparency Directive limits,

o Reporting for U.S. Section 13D, 13G and 13F

o Global short selling rules

o Takeover disclosure rules such as UK Takeover Rule 8, foreign investment limits and sensitive
sector rules


Reporting

 Flexible range of reports available

 Report wizard for business users to build reports ad-hoc

 Save templates for “favorites”

 Covers whole system, including Audit reports

 Report scheduler available

 HTML Reports can be integrated into clients web portal

 Integrate with Business Objects, Crystal, Dashboards etc.

 Published API


Technology

MoneyWare FundWare is a robust and highly scalable web browser-based
solution. No client / PC installation required.

 Integrated with Active Directory Services

 SWIFT & FIX Protocol compliant Trade Order Management System

 Application Framework : Microsoft .NET 4.0 Application

 Application Server : Windows 2008 Server Standard / Enterprise

 Database Server : Microsoft SQL Server 2008

Technology Partnerships

 Gold Certified Microsoft Partner (Independent Software Vendor)

 SAP Business Object Partner


Delivery Options

 Implementation Options - Installed, Hosted (Platform-as a Service – PaaS)

o Miles’ Hosting environment or Client’s selected hosting environment

 Technology solution or Managed Service Solution (PaaS +)

oData management, rules management, breach management etc

 Easy integration with clients web architecture.

 Published API

 Data sources – client data or integrated data feed


Delivery Options

 Implementation Options - Installed, Hosted (Platform-as a Service – PaaS)

 Miles’ Hosting environment or Client’s selected hosting environment

 Technology solution or Managed Service Solution (PaaS +)

Data management, rules management, breach management etc

 Easy integration with clients web architecture.

 Published API

 Data sources – client data or integrated data feed


About Miles


Miles Overview

Delivering Technological Excellence in Asset and Wealth Management

 Founded in 1999 by professionals from finance and technology space.

 Over 250 customers across leading financial institutions in India, Asia Pacific, Middle East & Europe.

 Diverse clientele includes private banks, asset management companies, brokerage firms, wealth
advisors, financial institutions and family offices.

 Established market presence in Indian asset and wealth management space (8 out 10 PMS license
holders and 6 out of 10 WMS installations are our customers).

 Suite of products include solutions for Wealth and Portfolio management, Leveraged portfolio
management, Custody and Fund management.

 Zephyr Peacock & Lighthouse Funds together hold 30% of current shareholding.

 Microsoft Gold Certified Partner as an Independent Software Vendor (ISV).


Milestones

•Moved to •Development of
Founded Enterprise new products –
Milessoft space SBL, Custody,
with MW Expansion
Foundation Consolidation •International Fundware
Retail and Installations
entry in PMS •Expanded client
• Launched WMS base to 250+
space
Suite


Miles DNA – Building Value through Excellence

• Insightful Thought leadership in financial services industry
Rich Domain Expertise • In-depth understanding of asset and wealth management

Scalable and Integrated • Robust functionality and modular scalable architecture
Solutions • Seamless integration with multiple business applications

Improved Flexibility and • Ease of adoption of new business processes
Innovation • Ability to support multi-scale operations

• Ability to productize emerging business requirements
Customer First • Prompt service and ongoing support for business continuity

• Fast time to market of new offerings
Maximized ROI • Lower operational risks & costs

• Adherence to industry standards and ethical work practices
Quality Processes • Well defined project management & implementation process


Miles Product Suite

MoneyWare is the flagship
product suite comprising
comprehensive and integrated
wealth and asset management
solutions to accelerate
business performance


Global Installations

CANADA

UNITED KINGDOM

USA
OMAN HONG KONG
INDIA

UAE

SINGAPORE

MAURITIUS


Clientele: Domestic Installations

India's second-largest bank with total assets of Rs. 4,062.34 billion (US$ 91 billion)

Third largest private sector bank in India

Joint venture between DSP & Blackrock and a leading global fund house

Leading global wealth manager, and UK's largest, with total client assets of
£169.5bn
World's largest financial services network, spanning 140 countries with
approximately 16,000 offices worldwide
One of the leading wealth management, capital markets and advisory companies
in India
Headquartered in New York City, the company reports over US$779 billion as
assets under its management

An American multinational bulge bracket investment banking and securities firm

Serves over 85 million private, corporate and institutional clients in over 40
countries
www.funds-axis.com Partial List * www.milessoft.com

Clientele: International Installations

(Muscat )With assets worth over RO 1.5 billion, Bank Dhofar is one of the fastest
growing banks in the Sultanate of Oman
(Dubai) Leading Swiss private bank based in Basel, Switzerland.
(London) One of India's leading banking and financial services groups, offering
wide range of financial services

(Mauritius) CIM provides a comprehensive range of asset management solutions

(Portland) A leading global wealth advisory firm that delivers independent
investment management solutions to wealthy families and individuals

(Singapore) UTI AMC, largest retail asset management company in India, has
more than 10 million investor accounts worldwide
(Singapore) With a market share of 21 percent, Deutsche Bank is the largest
foreign exchange dealer in the world
(Singapore) Private equity firm with over $2.6 billion aggregate annual revenue
and $460 million in transactions and growth capital
(Singapore) Specializes in Investment Advisory & Asset Management for
institutional & private investors
(Toronto) Specializes in the implementation of client-centric wealth management
solutions across all major sectors of the financial service industry
www.funds-axis.com Partial List *
www.milessoft.com

Board of Directors
Steve Canter
 Managing Director for Zephyr Management, L.P.
 Chairman and CEO of Dreyfus Corporation and Vice Chairman of Mellon Financial
Corporation for 35 yrs.
 Global CEO for companies such as Kleinwort Benson, Hutchins Institutional Investments
and Chase Investors Management

Mukul Gulati
 Managing Director for Zephyr Peacock India Fund
 Held several leadership positions with leading financial information firms including
Multex, Reuters, Market Guide (pioneer in the area of financial publishing on the internet.)

Mukund Krishnaswami
 Managing Partner for Lighthouse Funds
 Associated with companies like Mckinsey, Lehman, SAI Investments, Mon Cheri Bridals
and RCG Management.


Advisory Board

Deepak Ghaisas
 Former Vice Chairman of i-flex Solutions Ltd. (now Oracle Financial Services Ltd) and
one of the founding members of i-flex Solutions Ltd
 Expertise spans across business management and management accounting; techno-
legal-commercial areas of information technology, risk management, corporate
governance, legal affairs, and contract negotiations
 Recipient of the CFO Asia Award in 2001, the first ever Indian to win the award

NRK Raman
 Former MD & CEO, Oracle Financial Services Software Ltd.
 Prior role was as Chief Operating Officer responsible for development strategy, global
delivery of products and services divisions and managed all aspects of operations,
including human resource development, process and quality management
 Served as one of the key leaders in directing technology strategies and goals for
strategic business units in the company.


Management Team

Milan Ganatra Founder and CEO
 First Generation Entrepreneur with over two decades of hands-on experience in the
financial services space
 Deep domain knowledge on wealth management and experience in technology

Sandeep Presswala Executive Director
 Over two decades of business experience in capital markets in wealth management,
brokerage, corporate banking, NBFCs
 With the IL&FS group for over 12 years and as part of core team successfully set up and
built a 14 bn value business that was sold to HSBC

Bhaskar Iyer Chief Delivery Officer
 Over 30 years of rich experience in the BFSI domain spanning across Product Management,
Solution Architecting, Delivery and Program Management and Customer Support
Management
 Has been associated with Infrasoft Technologies in the past for 12 years


Management Team

Pradeep Paliwal Chief Technology Officer
 Technology professional with more 17 years of experience in technology project
management & product development
 Has been associated with Accenture and Polaris in the past

Dhawal Kamath Products - Investment Management
 Wide experience in Software planning and development, system analysis and system
design
 Pivotal role in adoption and incorporation of new technologies to the product suite

Hemanshu Siria Development Operations - Investment Management
 Heads the development operations for all investment management solutions
 Passionate about technology and is involved in researching and creating the learning
architecture for the organization


Management Team

Sandeep Lalwani Business Development
 20 years of rich experience in leading marketing and strategic growth initiatives of
software solutions organizations in Asia Pacific and Europe
 Has worked with Wells Fargo, H&R Block, Standard Chartered Bank, Deutsche Bank,
Bankers Trust, and Citicorp

Akash Anand International Business
 Post Graduate in Business Administration with over 15 years of experience with various
leadership roles in Private Banking, Asset Management, Life Insurance and Business
Management
 Was previously associated with TATA Asset Management overlooking their
international business division

Ashish Bajaj Products - Custody & Fund Management
 Over 14 years of experience across in IT Exploration & Application Development,
Program & Product Management.
 Previously CEO at Infoton System & Services Pvt Ltd.

Rakesh Sakaria Chief Financial Officer
 Has over 13 years of experience across diverse industries.
 Has worked with large Corporations such as Essar Group, McDonalds, Tata Group

Why Miles – Vendor Reliability

 Contracts to abide to laws of United Kingdom

 Escrow Account in UK for Source Code Safety

 UK Presence – Local partnership with Funds Axis Ltd.

 Comprehensive documentation of all the UCITS rules.

 Guaranteed Results through Proof of Concept

 System Documentation / User Manuals / Publish API’s

 Reduced time, cost and risk of implementation

 Trusted by 250 customers globally


About Funds-Axis


Overview

 Placeholder text

 Placeholder text


Why Funds-Axis

 Regulatory expertise

 Documented Rules Libraries

 Expertise supporting global implementations

 End-user perspective

 Domain Expertise


MoneyWare FundWare Roadmap


FundWare Roadmap

 Completion of UCITS Law Cards functionality

 Publish New Rules Library

 Enhance Multiple Data Feeds configuration

 Real-time Integration Automation

 Configurable Report Scheduler

 Database Migration to Oracle

 Platform As A Service PLUS (PAAS +) - Monitoring Services


Contact Us

Miles Software Solutions Pvt. Ltd. Funds-Axis Limited
B - 801, Trade World, 31 Southampton Row,
Kamala Mills, Lower Parel (W), London, WC1B 5HJ
Mumbai - 13 T: +44 (0)800 783 67 91
T: +91-22-66518400
E:info@funds-axis.com
E: info@milessoft.com

Miles Software (ME) FZE
Level 9, Monarch Office Towers,
1, Sheikh Zayed Road ,
Dubai, UAE
T: +971 (4) 5096649

E: info@milessoft.com


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