Globalrmc Client Presentation September 30 2009 F General V

www.GlobalRMC.com Global Compliance Risk Management Corp. 245 Park Avenue, 24th Floor New York, New York 10022 www.GlobalRMC.com Core Services www.GlobalRMC.com GlobalRMC Trusted Experience™.

Global Compliance Risk Management Corp. www.GlobalRMC.com Company Overview Global Compliance Risk Management Corporation (“GlobalRMC”) is a strategic advisory and compliance risk management firm that offers financial market participants a comprehensive methodology for analyzing, addressing, and resolving compliance risk while providing tactical solutions that support business growth. Client Focus and Value Proposition: Strategic Advisory: exceptional client services integrating Enterprise Risk Management (ERM) principles, compliance techniques, and corporate governance solutions to identify systematic material risks and develop risk assessment strategy. Tactical Solutions: achieve flexible, robust, and sustainable mitigation strategies that optimize corporate effectiveness, efficiency, and business growth. 1

Global Compliance Risk Management Corp. www.GlobalRMC.com Our Clients • Asset Management Investment Advisers - Institutional Investors Investment Companies - Mutual Funds • Alternative Investments Hedge Funds Private Equity Real Estate Funds • Registered Broker - Dealers • Banks, Credit Unions, Insurance Companies and other Financial Services Firms 2

Global Compliance Risk Management Corp. www.GlobalRMC.com GlobalRMC - Our Approach GlobalRMC’s approach combines the principles of Enterprise Risk Management (ERM) with the deep experience of its principals in regulatory compliance, corporate governance, and management consulting for financial services organizations. GlobalRMC recognizes that an effective compliance risk management program rests on the efficiency and interaction of a firm’s compliance, corporate governance, and risk management functions, however large or small these might be. We offer a proven analytical framework that has been widely recognized by both regulators and industry participants as an effective means of addressing compliance risk. 8

Global Compliance Risk Management Corp. www.GlobalRMC.com Core Services GlobalRMC offers a full range of cutting-edge compliance risk management services and solutions: •Enterprise Risk Management and Compliance Advisory Regulatory and Compliance Strategic Advice Corporate Governance Evaluation Chief Compliance Officer Program Enterprise Risk Assessment and Management •Independent Operational Due Diligence Services Compliance Audits, Fund Manager and Service Providers Oversight Independent Operational Due Diligence of Fund Managers •Strategic and Tactical Solutions Implementation Regulatory Driven Policies, Procedures, Compliance Monitoring Programs Best Practices Risk Management and Compliance Program Implementation Compliance and Risk Functions (CCO/CRO) Smart-Sourcing and Outsourcing Chief Compliance Officer Program – Risk Assessment, Monitoring, Testing, Reporting 3

Global Compliance Risk Management Corp. www.GlobalRMC.com Strategic Advisory and Compliance Risk Management Services Enterprise e e Eff nc nc Risk ec rna rna ti v en ve ve Management Go Go es s Compliance Due Diligence Ef fic ie Strategic and y nc nc y Tactical re pa a ns Solutions Tr 4

Global Compliance Risk Management Corp. www.GlobalRMC.com Compliance Risk Management - Background As the financial services industry recovers from the most significant economic crisis since the Great Depression, financial market participants of all sizes face a wide range of unprecedented challenges: Changing and volatile market conditions Changing and uncertain macro regulatory environment for financial services New SEC registration requirements affecting previously unregulated hedge funds and other pooled investment vehicles requiring either establishment of compliance infrastructure or major enhancements to existing programs More aggressive regulatory examinations by SEC, state, and other securities regulators Higher risk of enforcement action and more severe sanctions and penalties Higher level of investor scrutiny of operational controls and compliance standards as part of enhanced due diligence 5

Global Compliance Risk Management Corp. www.GlobalRMC.com 2009 and Beyond Increasing Regulatory and Compliance Standards Regulators Oversight Increased & Testing Clients & Investors Governments New Legislation Financial Services Industry More Accountability & Risk Limits and Protection Transparency Increased Counterparties Enterprise Risk Management and Compliance Governance Recognized as a Leading Solution 6

Global Compliance Risk Management Corp. www.GlobalRMC.com Our Mission In light of these complex issues, financial firms clearly need to make risk management decisions of all types in a more Informed, rigorous way. •GlobalRMC’s proprietary model provides a comprehensive analytical framework that empowers firms to: effectively evaluate compliance risk and business opportunity make risk management choices that enhance stakeholder value promote effective communication of compliance risk management issues across the organization create a record of the decision-making process that will withstand regulatory, legal, investor, and industry scrutiny 7

Global Compliance Risk Management Corp. www.GlobalRMC.com GlobalRMC – Our Process GlobalRMC works with clients of any size, at any stage in their operations. Our services focus on providing a series of “building blocks” that enhance the ability of the firm’s stakeholders in making informed decisions about compliance risk, and establish a mechanism that clearly demonstrates to both regulators and investors the rigor of its decision process. The scope of GlobalRMC’s engagement varies according to the needs of the client. Our advisory services and deliverables are highly regarded for their technical soundness, analytical clarity, comprehensive scope, and quality execution. 9

Global Compliance Risk Management Corp. www.GlobalRMC.com Compliance Program and Risk Management Overview Compliance Program & Risk Assessment GOVERNANCE COMMITTEE SUPERVISORY BOARDS High Risks Reporting Due Diligence CCO & CRO And Monitoring Review and Testing COO & CIO Risk Management Program Governance, Effectiveness, Transparency and Efficiency 10

Global Compliance Risk Management Corp. www.GlobalRMC.com Integrated Compliance Risk Management Program Key Elements of Effective Risk Management and Compliance Program: Governance, Culture of Compliance “tone at the top” and Risk Awareness Integrated Risk Management & Compliance Program Comprehensive Risk Assessment Methodologies and Mitigation Strategies Effective Risk and Compliance Monitoring, Review and Testing Program; and Reporting Compliance Policies Risk Assessment Due Diligence Reporting Key Risk Indicators Procedures Gap Analysis Review and Monitoring Program Regulatory Requirements Supervision Mitigation Strategy Testing Program Measuring Material and Systematic Risks Identification Manage Reputation Risk, Align High Risks With Mitigation Strategies Create Value, Grow Business 11

Global Compliance Risk Management Corp. www.GlobalRMC.com Chief Compliance Officer Program – Sample Deliverables 1 week 1 – 2 weeks 1 week 1 Chief Compliance 2 Risk Assessment & 3 Compliance Audit, 4 CCO Risk Management Officer Program Mitigation Strategy Testing and Review and Annual Reporting Implement Compliance Develop and Implement • Develop Review and Prepare CCO Annual Program aligned with Risk Assessment and Testing Plan to validate Report Regulatory Requirements Management effectiveness of Compile full Methodologies and Compliance Program Develop and Implement documentation Standards aligned with • Test and Review sample of Policies and Procedures supporting: Best Practices transactions Define Company Risk • Perform GAP Analysis and Risk Assessment Matrix Criteria aligned with • Perform Risk Assessment and Implemented Recommendations for Business Activities • Document Rationale Mitigation Strategies Improvements. • Validate High Risks with Implement Compliance • Perform Quarterly Risk Periodic Reviews and the Business Monitoring Program and Monitoring, Sample Testing • Define Risk Remediation Training Testing and Meeting with Trend Analysis and Action Plans Assist with Regulatory the Business Identified High Risks Examinations • Risk Management Program 12

Global Compliance Risk Management Corp. www.GlobalRMC.com Our Expertise The principals of GlobalRMC each have over 20 years of experience in regulatory compliance and risk management for financial institutions. Just as compliance is interdisciplinary in nature, applying business and management expertise to a legal and regulatory framework, the principals of GlobalRMC bring a 360-degree view of the issues and the industry, drawing from extensive experience at top-tier investment banks, management consulting firms, and law firms. Developed and Implemented Developed and Implemented Chief Compliance Officer Program Regulatory Global Risk Management Program Requirements for the First Time in Americas. In Americas, Europe and Asia Pacific. Best Practices, Transparent and Robust Cost Savings and Lower Insurance Premiums Annual Risk Assessment and Reporting for In Recognition for CCO Annual Report Hedge Funds, Mutual Fund Boards and Regulators as “the best in the industry ”from the ICI 13

Global Compliance Risk Management Corp. www.GlobalRMC.com Major Achievements Achievements by the principals of GlobalRMC in connection with our methodology include: Development and implementation of first Chief Compliance Officer Program for asset management division of major investment bank. Successful roll-out across all major business lines, including investment banking, sales and trading, portfolio management and investment research, as well as marketing, operations, legal and compliance. Development and implementation of Risk Management Program to include all investment management activities in North America, Europe, and Asia-Pacific Regions. Recognition by major institutional investors for comprehensiveness and best practices in annual risk management and reporting. Recognition in connection with SEC, FINRA, state, and other regulatory examinations. Citation of CCO Annual Report as “best in industry” by Investment Company Institute, resulting in significantly reduced insurance premiums for major asset manager. Selection of GlobalRMC by Mayor Michael Bloomberg as one of 28 top new ventures in New York City for 2009. 14

Global Compliance Risk Management Corp. www.GlobalRMC.com Leadership Team Yvonne I. Pytlik – Managing Partner and Founder Yvonne I. Pytlik is a senior executive and one of industry’s most highly regarded strategists in compliance risk management for industry’ financial institutions. As Deputy Head of Global Compliance, Risk Management, and Strategic Planning at Deutche Bank AG, Yvonne Risk was responsible for global compliance risk management across all business lines, including capital markets, investment banking, asset management, and private wealth management. During her eight years at Deutsche Bank, Yvonne made numerous significant eight contributions to the firm’s overall compliance organization, including the development and implementation of global compliance firm’ risk management functions in the Americas, Europe, and Asia-Pacific regions. She was also responsible for the development and Asia- and implementation of Deutsche Bank’s highly praised Chief Compliance Officer Program Oversight initiatives for the asset Bank’ initiatives management division. Prior to joining Deutsche Bank in 2000, Yvonne was a Lead Senior Consultant in the Advisory and Information Risk Management Practice at KPMG, LLP, where she managed and supervised strategic business/ information risk assessment and process strategic reengineering engagements for KPMG clients. Her experience also includes over 10 years in Internal Audit at major financial institutions, with a focus on the asset management and investment management business. Yvonne has a Master of Business investment Administration (MBA) from Suffolk University and in Management from University of Massachusetts. She is FINRA licensed and a from Certified Public Accountant. She is also a member of numerous professional risk and compliance organizations, including AICPA, professional KPMG Audit Committee Institute, KPMG IFRS Institute, Global Association of Risk Professionals, Professional Risk Managers’ Association Managers’ International Association and 100 Women in Hedge Funds. She is a member of the Leadership Committee of 85Broads, which was originally established by Goldman Sachs as its internal women’s initiative, and chairs its Power Breakfast Committee. In 2009, women’ Yvonne was selected as one of the top Entrepreneurs to support Mayor Bloomberg’s New Venture Program initiatives for Innovation Mayor Bloomberg’ and Economy Growth. Jennifer S. Myers – Managing Partner and Co-Founder Co- Jennifer S. Myers is a senior compliance and risk management executive who provides regulatory analysis and strategic advice to executive to financial institutions and asset managers on regulatory compliance, risk management, and corporate governance issues. She served compliance, served as fixed income counsel to a major Japanese investment bank, where she was also an officer of the firm’s U. S. holding company where firm’ and of several operating subsidiaries. She subsequently worked for the Chief Compliance Officer at one of the leading U. S. investment banks on corporate compliance, ethics, and related broker-dealer issues. She has extensive cross-border experience, broker- cross- with particular expertise in the Asia capital markets. Jennifer was admitted to the New York Bar in 1984 began her career as a Jennifer as corporate lawyer at Shearman & Sterling, specializing in banking and securities regulation and transactions. She received her J. D. J. from Harvard Law School and her B. A. from Yale University. Jennifer is a member of numerous professional societies and Jennifer organizations, including the Securities Industry and Financial Markets Association Legal & Compliance Division, the Professional Risk Markets Managers’ International Association, the New York Society of Securities Analysts, 100 Women in Hedge Funds, and 85 Broads. Managers’ Analysts, 15

Global Compliance Risk Management Corp. www.GlobalRMC.com Our Team and Strategic Partners Marc – Albert Michaud – Managing Principal Marc-Albert Michaud is a senior executive risk management strategist whose experience includes implementing global risk analysis Marc- infrastructure across a wide range of products at several leading global asset managers. His expertise is in investments, credit, market leading credit, and operational risks. Prior to joining GlobalRMC, Marc-Albert was Head of Global Analytics Group at Morgan Stanley Investment Marc- Investment Management. He has held previous positions as controller at JP Morgan and risk manager at Deutsche Bank. Marc-Albert received a Marc- M. S. from Columbia University. Lisa Klar – Associate Director Lisa is a senior executive whose expertise is in regulatory compliance, strategic planning, product management, training, relationship compliance, relationship management, and process improvement for asset managers. She was formerly SVP & Head of Compliance and held several senior business positions in major global Investment management Firms in New York. Lisa received her J. D. from the University of in Pennsylvania and a B. A. from Cornell University. For engagements requiring a high level of quantitative, IT governance solutions, or business marketing strategy expertise, governance GlobalRMC has established alliances with top specialists in those fields, including: IT Systems Performance Optimization Corp. – Wojciech Gasior - President The firm is specializing in commercial business and banking E-Commerce, enterprise systems architecture and governance solutions. It E- solutions. successfully launched Websphere E-Commerce sites for top 10 largest global-wide revenue producers and 3 biggest sites by revenues. global- The firm operates as a strategic partner of IBM’s Premier Global Performance Practice & Software Services Websphere. IBM’ Websphere. Lighthouse Business Group, LLC. – Peter C. Haas, Jr. - President The firm is a business strategy consulting firm specializing in business planning, change management, process improvement and market strategy for financial institutions. The firm has significant expertise advising executive management and Board of Directors for significant Directors both commercial and community banks. Brian Spellman – Strategic Partner Brian Spellman is an investment management executive with extensive front office experience in equity trading, process extensive reengineering, analysis and control improvements. As Director and Senior Business Manager of Deutsche Bank’s equity trading desk, and Bank’ Brian led his team to achieve outstanding profitability in a well-controlled front office and operational environment. He has a B. S. in well Finance from Susquehanna University. 16

Global Compliance Risk Management Corp. www.GlobalRMC.com Contact Information For further information, please contact: Yvonne I. Pytlik, Managing Partner Tel: +1.781.835.8360 ypytlik@GlobalRMC.com Jennifer S. Myers, Managing Partner Tel: +1. 646.204.9333 jmyers@GlobalRMC.com Global Compliance Risk Management Corp. 245 Park Avenue, 24th Floor New York, New York 10022 Tel: +1.212.672.1623 Fax: +815.572.0674 www.GlobalRMC.com 17

Globalrmc Client Presentation September 30 2009 F General V

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