Research &

Customer Setup
Setup Account
Validate
External Legal
Entity
Contract Type &
Terms
Define Broker or
Advisor
Coverage
Setup Contacts
Setup
Addresses
Setup Tax ID &
Jurisdiction
Setup
Settlement
Instructions

Strategies &
Analytics
Preserve Legal
Documents
Define
Investment
Profile
Authorize
Products

Order
Management
Setup Products
Setup Issues
Setup Trading
Lines

Setup Margin
Credit

Setup Pricing
Sources

Define
Discretion
Setup
Calendars,
Schedules &
Events
Setup
Custodians

Assign Internal
Ratings
Assign External
Ratings

Test KYC & AML

Compliance

Organizational
Units

Define Internal
Legal Entity

Allocations &
Servicing
Process
Confirmations
Calculate Fees
and
Commissions
Process
Payments
Test Non-Cash
Compliance
Rules

Operational
Data Processing

Risk
Management

Finance

Reporting &
Analytics

Monitor
Messages

Define Risk
Measurements

Cash Flows

Commissions

Setup
Aggregates

Measure
Exposure

Positions

Account
Statements

Setup Views

Setup Risk
Limits

Profitability

Move Cash

Update
Aggregates

Journal
Transactions

Net Positions

Performance

Manage Status

Update Views

Journal Orders

Manage
Exceptions

Attribution

Allocate
Accounts
Communicate
with Settlement
Agents
Communicate
with
Depositories

Reconcile
Transactions

Product
Subledger

Manage Cash

Breaks &
Exceptions

Calculate Taxes

Net Capital

Forecast

Rebalance

Credit Analysis

Reconcile

Reconcile
Aggregates
Build Positions
by Account &
Product

Setup Clients, Counterparties and

Products

Process
Events

Noetic
Products &
Services

Funds

Aggregates

Statements

Commissions

Cash

Transaction
Journal

SubLedgers

Performance

Profitablity

Risk Engines

Tax

Noetic Parties
& Accounts

Noetic Prices
& Valuation
Criteria

Equities
Debt
Alternatives
Contracts

Maintain
History

Noetic Data
Warehouse

Evaluate Performance

Research &
Customer Setup

Strategies &
Analytics

Order
Management

Allocations &
Servicing

Operational
Data Processing

Risk
Management

Finance

Reporting &
Analytics

Setup Products

Message
Monitors

Define Risk
Measurements

Calculate Cash
Flows

Commissions

Define
Investment
Profile

Setup
Confirmation
Processes
Setup Fees and
Commissions

Setup Pricing
Sources

Setup
Aggregates

Measure
Exposure

Aggregate
Positions

Account
Statements

Contract Type &

Terms

Authorize
Products

Setup Payment
Processes

Assign Internal
Ratings

Setup Views

Setup Risk
Limits

Profitability

Move Cash

Define Broker or
Advisor
Coverage

Setup Margin
Credit

Setup Non-Cash
Compliance
Rules

Setup Issues

Update
Aggregates

Journal
Transactions

Net Positions

Performance

Setup Process
Statuses

Assign External
Ratings

Update Views

Journal Orders

Manage
Exceptions

Attribution

Setup Account

Preserve Legal
Documents

Validate
External Legal
Entity

Setup Contacts
Setup
Addresses
Setup Tax ID &
Jurisdiction
Setup
Settlement
Instructions

Define
Discretion
Setup
Calendars,
Schedules &
Events
Setup
Custodians

Setup Trading
Places

Asset
Classification

Reconcile
Transactions

Product
Subledger

Define Internal
Legal Entity

Setup
Depository

Reconcile
Aggregates

Calculate Tax
Liability

Test KYC & AML

Compliance

Organizational
Units

Setup Trading
Lines

Build Positions
by Account &
Product

Setup Clients, Counterparties and

Products
Noetic
Parties

Noetic
Products

Noetic
Prices

Process Events

Funds

Preserve
History

Cash

Alternativ
es

Equities

Debt

Contracts

Noetic Data
Warehouse

Manage Cash
Manage Cash

Evaluate Performance
Noetic
Aggregate
s

Noetic
Statement
s

Noetic
Commissio
ns

Noetic Assessment Approach

Week 1: Planning

Conduct administrative set-up

Create project charter, project plan
Initiate project status meetings
Collect artifacts
Distribute questionnaire
Review artifacts
Replan

Week 2: Research

Conduct interviews
Identify known data problems
Review data architecture
Review data architecture
Review data governance policies,
procedures, standards and
programs
Conduct follow-up meetings

Week 3: Analysis

Week 4: Delivery

Organize and aggregate the

analyses
Evaluate key data management
practices
Prepare baseline Assessment and
industry best practices
benchmarks
Develop assessment
Review findings with management
Incorporate management feedback

Review findings with Management

Incorporate management feedback
Prepare and present final
Assessment
Recommend next steps and action
plan