Enterprise Governance, Risk and Compliance

eGRC is a rapidly evolving business capability that uses processes and tools to combine:
- Compliance programs that measure control effectiveness,
- Risk management programs that categorize and prioritize risks, and
- Governance programs that identify, monitor and manage remediation of those risks.

1. © C op y right 2012 A x is T e c hnolog y , LLC

2. Ax i s T ec h n o logy O v e r v i e w A p r emier bu si nes s , s o f t w a r e p r oduct and i n f orm a ti o n t e c hno l ogy c on s u l ting fi rm t h a t br i d g es the g a p be t w e e n bu s i ness ne e d s , t e c hno l ogy i nv e s t m e n ts, a nd f utu r e g r o w th. F ounded i n 200 by e x pe r ts i n the a rt o f i de n ti f yi ng a nd a pp l yi ng IT s o l uti o ns th a t m e et the mo s t c omp l e x bu si ness cha l l en g es Independ e n t a nd pr i v a t ely he l d H e a dqu a r t e r ed i n B o s t on, M A , w i th l o c a ti o ns i n N e w Y ork C i t y , C h a r l o t t e and D a lla s T w o s ub s i d ia r i es: • • • • • • • Ax i s T e c hn o l o g y C o n s u l t i n g , L L C Ax i s T e c hn o l o g y S o ft w a r e , L L C © C op y right 2012 A x is T e c hnolog y , LLC 2

3. Ax i s T ec h n o logy Co n sul t ing O v e r v i e w A x i s T e c hno l ogy Consu l ting fi ts be t w e e n the l a r g e i n f l e x i b l e s t r a t e g i c f i rms a nd the c ommod i ty s e r v i c e s f i rms both near s ho r e a nd o f f s ho r e. • • L a r g e s t r at egi c fi r ms a r e g e a r e d t o w a r d p r o vi d i n g h ig h - le v e l s t r at egi c g u i d a n c e a n d l o n g - t e rm o u t s o u r ci n g c o n t r a c t s . C o mm o d i ty fi r ms w a n t t o p r o vi d e l o w - c o s t s e r vices t o p r i mar il y s upp o rt c o mm o d i ty t e c hn o l o gies , up g r a de s t o n o n - s t r at egi c s y s t e m s , a n d o t h e r o v e r h e a d - o r i e n t e d s o ft w a r e s e r v i ce s . • A x i s brid g e s t h e g a p • A x i s br i d g es the t w o by p r o vi d i ng s t r a t e g i c c on s u l ting t o i mp r o v e k e y departm e n t a l f unc t i on a li t y . The p r o j e c ts a r e a l l b as ed upon a s t a t em e n t of w ork w i th d e f i n i ti o ns of i nput, output, c a p a b i li tie s , a nd mea s u r a b l e r esu l t. • Ax i s hi r e s a n d r e t ai n s c o n s u l t a n ts w i th e xp e r i e n c e a n d k n ow le d g e a b o u t fi n a n c i al a p p li c a t i o n s a n d le a di n g t e c hn o l o gies . © C op y right 2012 A x is T e c hnolog y , LLC 3 C om m o d i t y Se r v i c es f i r ms S t r a t egic “B i g F o u r ” f i r ms

4. Co n sul t ing S e r v i ce O f f e r ings The C omp a n y ’ s s e r v i c e s c o v er a w i de s pe c t r um of bu s i ness c on s u l ting a nd v a l u e - a dded s o f t w a r e i mp l em e n t a ti o n s e r v i c e s . The C omp a n y ’ s c on s u l t a n ts a r e s p li t 5 / 5 be t w e e n bu s i ness a nd t e c hno l ogy c on s u l t a n ts. T o g e t her th e y f u lf il l c li e n t n e eds i nv o l v i ng p r o j e c t man ag em e n t, a r ch i t ec t u r e a nd s t r a t e g y , a s w e l l a s m o r e t a c t i c a l a ssi g nme n ts, s uch a s d a t a w a r eho usi n g , p r ocess en g i ne e r i n g , sys t em i mp l em e n t a ti o n a nd g r a ph i c a l u s er i n t e r f a c e s des i g n. • • • • G o v e r n a n c e a n d T e c hn i c al S t r at eg y P r o j e ct M a n a g e m e n t a n d B u s i n e s s An a l y s i s C u s t o m App li c a t i o n D e v el o p m e n t , U s e r E xp e r i e n c e a n d I n t e r f a c e D e sig n D at a W a r e h o u si n g S o l u t i o n s © C op y right 2012 A x is T e c hnolog y , LLC 4

5. E n t e r p r i s e Go v e r na n ce, Risk & Com p l i ance T h e w o r l d is c h a ngi n g d r am a t i c al l y . N e w a n d r a pi d l y s h i ft i n g r eg u l at o ry e n vi r o n m e n ts a f f e c t t h e s t r at eg y , s t r u c t u r e , a n d o p e r a t i o n s o f o rg a ni z a t i o n s , b o th w i t h i n t h e e n t e r p r i s e a n d in i ts d e al i n g s w i th c u s t o m e r s , p ar t n e r s a n d o t h e r t h i r d p ar ties . e G R C i s a r a p i d l y e v o l v i ng bu s i ne s s c a p a b i li ty th a t u s es p r oce ss es a nd t o o l s t o c o m b i ne: • • • C o m pli a n c e p r o g r ams t h a t m e a s u r e c o n t r o l e f f e c t i v e n e s s , R is k ma n a g e m e n t p r o g r ams t h a t c at e g o r i z e a n d p r i o r i t i z e r i s k s , a n d G o v e r n a n ce p r o g r ams t h a t i d e n t i f y , m o n i t o r a n d ma n a g e r e m ed i a t i o n o f t h o s e r is k s . © C op y right 2012 A x is T e c hnolog y , LLC 5

6. e G R C Risk T h e ty p i c al o rg a ni z a t i o n s r e a c t i o n t o t h es e s h i ft i n g r eg u l at o ry d e ma n d s h as p r o du c e d m ul t i p l e n e w r is k s a n d d is r up t i o n s I mp a c t s • U nc le a r o r g a n i z at io n a l d i r e c t ion F r a gm e n t ed c o n t r ol f r a me w o r k U n r e c og n i z ed / un mi t i g a t ed r i s k s O r g a ni zat ion p e r f o r m a nc e i n t e r r up t ed L o s t opp o r t un i t ies • • • • © C op y right 2012 A x is T e c hnolog y , LLC 6

7. e G R C F r am e w ork e G R C i s a n e n t e r pr is e i n i ti a ti v e th a t r eaches f r om s t r a t e g y th r ough a r ch i t e c tu r e t o the o pe r a ti o ns of the o r g a n i z a ti o n. Wheth e r a n o r g a n i z a ti o n s t a r t s t o p - do w n wi th C orp o r a t e L eade r s h i p o r s t a r t s the i n i ti a ti v e a t a mo r e t a r g e t ed A r ch i t e c tu r e or Ope r a ti o ns f r a me w ork f or a n E nt erpr is e G R C p r og r a m. l e v el, th e s e modu l es f orm a E n s u r e t h e e G R C s t r a t egy i s w e l l a n d p er m e a t es t h e c u l t u r e. E n s u r e t h e r e i s a r o bu s t a n d Im pl e m e n t p r o c e s s e s , o r g a n i za ti on s T h i r d P a r ty Im pl e m e n t p r o t o c ol s a n d t e c hn olo g y – al i g n ed w i th t h e e n t er p r i s e s t r a t e g y a n d a r c h i t e c t u r e – t o i n t er f a c e e f f e c ti v e l y w i th s t r a t egic t hi r d p a rty v e nd o r s , p a rt n e r s , c h a nn e l s , e t c . © C op y right 2012 A x is T e c hnolog y , LLC 7 T HI R D P A R T Y ( B e y o nd ) e G R C 3 r d P a rty 3 r d P a rty Ri s k 3 r d P a rty I n t er f a c e M a t u r i ty M o d el Mg m t I n t er f a c es A r c h i t e c t u r e R oa d m a p A ss e s s me n t A pp et i t e/P r o f il e C orpo r at e Le a de r ship C O R P OR A T E L E AD E R S HIP d e f i n e d , c o mm un i c a t ed e f f e c ti v e l y e G R C S t r a t egy M a t u r i ty R i s k IT S t r a t egy A r c h i t e ctu r e A R C HI T E CT U R E i n t eg r a t ed c o n t r o l f r a me w o r k . eG R C M a t u r i ty Ri s k I n t eg r a ti o n IT A r c h i t e c t u r e O pe r a t i on s O PE R A T IONS a n d t e c hn olo g y t h a t a r e ali g n ed w i th e G R C M a t u r i ty Ri s k A pp et i t e IT t h e s t r a t egy a n d a r c h i t e c t u r e. R e ali za ti o n E x e c u ti o n Mg m t Im pl e m e n t a ti o n

8. e G R C Ex p e r t i se A x i s t a k es a h oli s tic a pp r o a ch t o e G R C by p r o vi d i ng e x pe r ti s e ac r o s s the k e y bu si ness a nd t e c hn i c a l d i s c i p l i nes ( s t r a t e g y , o r g a n i z a ti o n, cu l tu r e, p r oces s , t e c hno l ogy a nd c ommun i c a ti o n) t o a ch i e v e e nt e r pr is e chan g e © C op y right 2012 A x is T e c hnolog y , LLC 8

9. e G R C Ou t c ome A ho l i s tic, i n si g h tfu l , a nd a c t i on a b l e e G R C s t r a t e g y c a n he l p y our o r g a n i z a ti o n t o la unch a nd m a x i m i z e i ts s uc c es s f ul e G R C e f f ort. • I m p r o v e d a b ili t y t o p r o a c t i v e ly ma n a g e t o c ur r e n t a n d e m e r g ing r e g ul a t o r y d e ma n ds a n d mar k e t o p po rt u n i t i e s I n t e g r a t e d in f o r m a t i o n t h a t e n a bl e s a g ili t y T r a ns p a r e n c y a cr o s s t he o r g a n i z a t i o n R i s k ma n a g e m e n t d ec i s i o ns t h r o u g h o ut the e n t e r pri s e align e d w i t h s t r a t e g ic a n d o r g a n i z a t i o n a l g o als E f f i c i e n t a n d e f f e c t i v e m a n a g e m e n t o f e n t e r pr i s e r i s k • • • • © C op y right 2012 A x is T e c hnolog y , LLC 9

10. w w w . a x i s t e c h n o l o g y l l c . c o m 7 F e d e r al S t ree t Bo s t o n , M A 0 2 11 ( 857 ) 4 4 5 - 0110 10 © C op y right 2012 A x is T e c hnolog y , LLC