Presentation objective is to provide an overview of our Basel II building blocks, offer insight into the look and feel of the application and Showcase how you can easily use our software.

1. Discover why 50,000 professionals have already switched to easy2comply Operational Risk Management for Basel II

2. Presentation Objective Provide an overview of our Basel II building blocks Offer insight into the look and feel of the application Showcase how you can easily use our software 2

3. Who is it for? Our Basel II software has been designed with the needs of the Basel II Manager in mind and can be used by: Basel II Manager Basel II Steering Committee Line Managers 3 No project is too big or too small It can be used by small groups (1 – 5 users) all the way up to the whole enterprise (10,000 users) Implementing our software has never been easier!

4. Operational Risk Management 4 Organizational Structure Risk & Control Self Assessment Loss Data Tasks, Notifications and Messages Reports and Management Dashboards

5. Organizational Structure 5 Organizational Structure Risk & Control Self Assessment Loss Data Tasks, Notifications and Messages You can also look at your business horizontally across the enterprise. This feature allows you to drag and drop parts of your business into simple structures to ease reporting and comparative analysis. This is where you define your organizational structure. Our software combines a dual hierarchy: one for your business units, departments and locations, and one for your operational processes and activities. Reports and Management Dashboards

6. Organizational Structure 6 Each Unit can be documented in terms of Owner, Type, Risk Profile and Attachments Structure can be built with no limitation to the number of levels

7. Process Structure 7 Process is documented in terms of Risks / Controls, General Information, Risk Profile and Attachments Structure can be built with no limitation to the number of levels

8. Flowcharts (optional) 8 Process Documentation can also be added as an attachment (Word, Visio, etc.)

9. Organizational Structure Tasks, Notifications and Messages Reports and Management Dashboards Risk & Control Self Assessment 9 Assess your Risks using one or more of the available methodologies: Impact vs. Likelihood Risk Square Monte Carlo Simulation Questionnaire / Balanced Scorecard Risk & Control Self Assessment Loss Data Control your Risks by linking the relevant controls to the specific risks and determining the residual risk level. Check the controls for their level of effectiveness. Schedule the control checking process. Identify your Risks within the business unit, department or process. Document, categorize and classify the risks according to your own criteria. Attach any supporting evidence to the risk record.

11. Likelihood

12. Risk Score

13. Control Mapping

14. Control Checking

15. Residual Risk Score

16. Risks

17. Description

18. Categories

20. Risk Assessment 12 Assessment performed according to a 5 x 5 matrix generating a Risk Score

21. Risk Assessment 13 Single frequency parameter Two severity parameters Monte Carlo simulation Annual expected impact Annual unexpected impact

22. Control Mapping 14 …together with the associated set of controls mapped to the risk Here you can see the risk…

23. Control Documentation 15 Controls can be fully documented and tested as needed

24. Organizational Structure Risk & Control Self Assessment Tasks, Notifications and Messages Reports and Management Dashboards Loss Data 16 Capture your Loss Data and Event Data across your Organization Loss Data Assess the impact of the Loss or Event and link each impact to your Risk and Control map Respond effectively to each event, draw relevant conclusions and allocate Actions accordingly

26. Total cost

27. Indirect impact

28. How we can improve

29. Controls

30. What

31. When

33. Incident Costs 19 Itemized costs Total financial impact

34. Drawing Conclusions 20

35. Tasks, Notifications and Messages 21 Organizational Structure Define your own Alerts (for example): Missed Due Dates Approaching Control tests Changes to the Risk Assessment Changes to your data Create and follow up on Actions: Link Actions to your Control Each Action has an Owner and a Due Date for follow up New Messaging feature Risk & Control Self Assessment Loss Data Tasks, Notifications and Messages Reports and Management Dashboards Notifications are sent directly to your email inbox with a link taking you to the software

36. Tasks Management 22 All Actions and Tasks are listed under the Organization’s Action Plan. Actions are listed according to status, owner and due date An individual action can contain multiple sub-tasks, each allocated to a different owner with a different due date

37. Notifications and Messages 23 Software comes with the ability to generate reminders, alerts and notifications regarding Action Plan due dates and scheduled control tests. These notifications are delivered directly into the user’s email

38. Reports and Dashboards 24 Management Dashboards are colorful and interactive charts generated by our powerful charting engine Organizational Structure Built-in Reports are pre-defined report templates that can be generated and exported to multiple file formats Risk & Control Self Assessment Loss Data Excel Reports are templates created by the User that define precisely the data wanted to be seen Tasks, Notifications and Messages Reports and Management Dashboards

39. Built-in Reports 25

40. Report Templates 26 User defines the data wanting to be displayed in the report

41. Dashboards 27

42. Operational Risk Management 28 Organizational Structure Risk & Control Self Assessment Loss Data Tasks, Notifications and Messages Reports and Management Dashboards

43. Thank You www.easy2comply.com