BrixPoint SharePoint Experts: Compliance for Banking and Capital Markets in SharePoint

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  • Clearly, there are many forces and issues affecting financial services today. Across Capital Markets and Banking; we have distilled these forces down to four clear macro drivers, based on our observations and customer interactionsNeed for greater insight into financial risks and business performance Unforeseen risks from unknown quarters – Times in the past were simpler, when risk could be identified and measured appropriately since there were a finite number of products and asset classes. However, with the objective of garnering ‘alpha’ for clients, firms have pushed the envelope with asset classes and derivatives that make it very difficult to assess all levels of risk accurately and in a timely manner. Every additional tick of the clock required to calculate credit, together with market risks, limits the business considerably. High regulatory scrutiny and oversight –New regulations are always on the anvil but many still remain ambiguous that firms have to navigate unchartered business issues, while at the same time trying to decipher what the regulatory implications are for their business. Derivatives Reform supports clients in navigating through the challenges of major regulations such as Dodd-Frank, MiFID II and Basel III. (Insurance carriers also want greater risk insight and this is being driven by Solvency II in Europe)Lost customer loyalty – The financial crisis may have brought consumer views of financial services organizations to an all-time low. This may be related to fall out from questionable mortgage lending, government bailouts, or new fees being implemented for basic services (such as debit cards) despite growing profits and bonuses. Whether perceived or real, it doesn’t really matter. The point is that financial institutions are losing trust and loyalty of their customers. It is imperative for banks, and investment banks to rebuild this trust. Net new premium or net new customers are hard to come by. Companies therefore need to service their existing customers to avoid attrition.Cost and margin pressures –It is becoming more expensive to conduct business. This is in part is due to escalating regulatory requirements that add more process, the cost of capital reserves (for example, Basel III requirements include short term trade financing activity – this is causing many banks to rethink their role in the vital international trade business). We also see eroding margins from price pressures, but also an increasing burden of complex legacy technology that is becoming inefficient to operate and expensive to modernize.Historically low interest rates and poor portfolio returns - Due to the economic crisis and historically low interest rates, capital markets firms must adjust portfolios in different ways than as they had done before the economic crisisFocus on profitability and reducing operation costs Consumers demand more complex technology – technology innovation is changing at an ever-increasing pace. Examples of course includethe explosion of consumers and business professionals to stay socially connectedContinued growth in new devices that enable mobilitythe move to the cloud for cost and agility, and. Even breakthroughs in the way we interact with technology is changing, as seen with the Xbox Kinect motion sensing game controller. Technology is an intrinsic part of the business of banking – and the gap between technology capabilities and consumer adoption vs bank system capability is widening.TRANSITION:What are the Opportunities & Challenges these create?What are the new Business Priorities?what are the new Required Capabilities, and what technologies areneeded to enable them?
  • So how do these macro issues and customer perspectives align to what we see as strategic technology implications and investments? We’ve boiled this down to four major priorities that will be briefly introduced – and then I’ll move onto the Microsoft value proposition:Risk management and business insight : BI/big data solutions to aid business strategy and HPC/risk bursts enabling agile enterprise risk management. The cloud provides a unique opportunity to finally do all the ‘what if’ analysis that quants and risk managers used to always ask IT for. But the real benefit will be for traders inventing strategies, trying to identify patterns in market replay that will allow them to find new ways to be profitable.Customer acquisition and retention: Enhancement of customer service tools and collaboration platforms. Rich in design and ‘accessible from anywhere’, applications are being put in place to provide customers with detailed market analysis leveraging all media and channels. Cost optimization and operational efficiency: Optimize electronic trading, improve speed, monetize technology assets and leverage hybrid models. Like in Formula 1 racing, financial services firms have to ask themselves what component to bet on to maximize the best return on investment. Is it a new network card? Or a new datacenter? Or a new quant app? The road to success will increasingly be linked to IT, which is no longer a limiter but an enabler for business.Mobility and social channels: New trends in the consumerization of technology, as well as social media, provide excellent opportunities to be the first mover and quickly garner a new marketplace, which was hitherto a much longer time to market for any new project and the dependency on sourcing infrastructure, deployment and end user access has greatly reduced with the emergence of Software As A Service as well as devices.
  • According to The Wall Street Journal, "Credit Suisse survived the credit crisis better than many competitors.” Luchetti, Aaron; Jay Solomon (December 17, 2009), "Credit Suisse May Revamp Asset-Management Unit", The Wall Street Journal, retrieved October 13, 2012Credit Suisse Uses Business Intelligence for Next-Generation Global Risk Management http://www.microsoft.com/casestudies/Microsoft-Silverlight/Credit-Suisse-Asset-Management/Credit-Suisse-Uses-Business-Intelligence-for-Next-Generation-Global-Risk-Management/4000011104To support growth and perform risk analysis and investment guideline monitoring, Credit Suisse Asset Management (CSAM), part of the Credit Suisse group, needed a next-generation data management, reporting, and analysis solution. CSAM built its Strategic Performance, Exposure, Attribution, and Risk (SPEAR) application using Microsoft Business Intelligence technologies and Microsoft ASP.NET, with the Microsoft Silverlight browser plug-in for a rich interactive user experience. After successful deployment in the CSAM United States office—as well as to the Prime Services Risk Management Group of the investment bank—the same product is being rolled out at the Zurich branch of the business. The reusability of the platform resulted in fast time to market and a reduced total cost of ownership across multiple areas of the bank, which is now better positioned to adapt to changing risk monitoring requirements globallyBusiness Connectivity Services (BCS) uses a complimentary client and server-side architecture that allows for Office clients, such as Outlook and Excel, to work directly with external data exposed to SharePoint through external content types.A scorecard shows at a glance whether performance is on or off target for one or more key performance indicators (KPIs). A dashboard is a collection of views that can include scorecards and other reports. Scorecards and dashboard are designed to show current performance information and are typically rendered in a site such as a SharePoint Server 2013 site.
  • Bank of America case studyhttp://www.microsoft.com/casestudies/Microsoft-Office-SharePoint-Server-2007/Bank-of-America/Global-Financial-Leader-Deploys-Solution-for-Compliance-and-Operational-Advantages/4000002415 Bank of America, one of the world’s leading financial institutions, provides its services through 6,100 retail banking offices and nearly 18,500 ATMs. For a large and complex organization like Bank of America, compliance with the numerous U.S. and international financial regulations is of vital importance. One of the most significant of those regulations is the Basel II Accord, which establishes rigorous requirements designed to ensure that banks hold capital reserves appropriate to the risk to which they are exposed. To comply with the operational risk aspects of Basel II, the bank created a portal solution based on Microsoft® Office SharePoint® Server 2007. Developed and deployed in just four months, the solution has been rapidly adopted by managers and staff, who are using it to comply with Basel II and to better measure and address operational risk throughout the enterprise.Track Compliance Initiatives with Visio Services in SharePoint Server 2013. Visio Services is a service application that allows users to collaborate on and view Visio diagrams. The service also enables data-connected Visio 2013 diagrams to be refreshed and updated from a variety of data sources. Pull real-time compliance information from a variety of sources to keep compliance initiatives in check across the enterprise.
  • Erste Abwicklungsanstalthttp://www.microsoft.com/casestudies/Case_Study_Detail.aspx?CaseStudyID=710000001959“We have established an audit-proof centralized solution [SharePoint] for managing our business critical credit files..”Michael Severin, Executive Director, Erste AbwicklungsanstaltThe new Visual Designer in SharePoint 2013 is a whole new workflow design surface that’s built right into SharePoint Designer 2013. The Visual Designer looks like a Visio canvas showing up directly within SharePoint Designer. And in fact, this is exactly what’s going on. When SharePoint Designer 2013 and Visio 2013 Professional are installed side by side on the same machine, we will enable the new Visual Designer. 1) Able to create workflows using click and drag just like in Visio2) Able to use “Action Tags” to set properties of different actions3) Top Level Property grids allow you to set the properties that would only show up at the sentence level in the Text-Based DesignerMore details are found http://blogs.msdn.com/b/sharepointdesigner/archive/2012/10/22/introducing-the-new-visual-designer.aspx
  • ASB Bankhttp://www.microsoft.com/casestudies/Microsoft-SharePoint-Server-2013/ASB-Bank/Bank-Innovates-Work-Environment-Boosts-Performance-with-Social-Collaboration/710000001616SharePoint continues to deliver robust records management capabilities. SharePoint provides the framework for a records management system that:Helps protect an organization legally.Demonstrates compliance with regulatory standards.Increases efficiency by promoting the disposition of out-of-date items.Records Center is the hub from which you can submit or find important documents that should be stored for long term archival. Submitted records are automatically placed in the correct library and folder based on the properties you fill out. Records managers can configure the routing table to direct incoming files to specific locations. The site also lets you manage whether records can be deleted or modified after they are added to the repository.Record managers can also specify retention schedules for content types (and libraries/folders) to ensure compliance with corporate and regulatory governance requirements.Instead of moving documents to a specific Records Center, you can also declare documents as a record and will be handled as a record in the site it was created as an in-place record. After the document is declared as a record, it can have policies and restrictions different than when it was a document. The policies are added to either the Content Type or directly on the document library.Documents can be declared as records either manually or automatically.
  • Animated slide – click to view eDiscovery query exampleElectronic Discovery, or eDiscovery, features allow organizations to identify, hold, search, and export content from Exchange mailboxes, SharePoint sites, and file shares to support case management in addition to preservation and complianceWith advanced search technology (from the FAST acquisition) the new Office unifies the eDiscovery process by letting you retrieve content stored across Exchange, SharePoint, Lync and even file shares.  You can search and view content by project, legal matter, or business context. Laser-focused refiners help you get the exact content you are looking for. Key benefits of our unified eDiscovery solution are:First, you can find it all in one place: one single experience for searching and preserving email, documents, site mailboxes, etc.Secondly, find what you need and only what you need: be specific about what you want to search for and preserve, to reduce discovery costsThirdly, find it without user impact: place no burden on the user for preserving and searching for data, do it all in the background.Eliminate the need to buy and manage a separate archiving solution by allowing users to access an email archive from within their Inbox and equipping specialized users with eDiscovery tools.
  • Sharing documents is easier than ever before. You can provide external partners and vendors secure access to SharePoint sites or documents without violating the data governance and protection policies set by IT. You can enforce sign-in and set permissions at the document or site level to ensure you can work together with anyone more securely.
  • ASB Bankhttp://www.microsoft.com/casestudies/Microsoft-SharePoint-Server-2013/ASB-Bank/Bank-Innovates-Work-Environment-Boosts-Performance-with-Social-Collaboration/710000001616 Save time finding and communicating with other people who have information your customers needWe’re introducing an array of new social features let you share what you’re working on, ask questions and keep track of what your colleagues are doing with contextual updates delivered to your activity feed. The heart of the social experience in SharePoint 2013 is the newsfeed – it’s a summary of all your social interactions from your microblogs and community conversations, to the sites, content, and people you follow.The newsfeed gives people the ability to post, to reply to others comments, to like. If you’re following a hashtag, or someone posts a comment on a community of site all of this activity will appear on your newsfeed. The newsfeed can also be filtered to show information targeted directly at you, including @mentions, to help you quickly get involved in the conversation.There are multiple feeds as part of the social experience, your personal newsfeed, a company feed that is used to share information with everyone and individual site feeds. Following in SharePoint 2013 includes not only people, but documents, sites and tags and you can even show trending tags based on social analytics designed to help everyone in the organization keep a close eye on what’s happening across your organization and stay connected from virtually anywhere.We have incorporated all the social networking capabilities that people love in the new SharePoint. Here you can see the SharePoint Newsfeed, which enables you to speak your mind, share ideas and get answers in real time. You get hashtags (#), ‘likes’ and the ability to mention people (@) in a post. You can follow people, document & sites, so you always know what is going on with your colleagues and projects. You can even create an Outlook task, right from your Newsfeed, so you can effectively track an action item.  This is what we call social to get things done.Theme: Connect your workplace with integrated social capabilities – communication and collaboration within and across agencies; Knowledge Sharing to Drive Productivity and Efficiencies; Resolve issues fasterOffice 2013 capabilities: social capabilities in SharePoint and Office – like newsfeeds to follow sites, documents and discussions to get answers in real time - follow people, teams, documents and sites to stay on top of the latest happenings. Keep track of what your colleagues are up to through their activity feed. SharePoint even recommends people and documents to follow based on your interests and responsibilities. Ratings and reputation scores enable you to recognize colleagues and develop expert communities. Enterprise newsfeeds & microbloggingFollow people, document & sitesCreate Outlook tasks from your NewsfeedClick to communicate with pervasive presence & People card-SharePoint is the platform IT NEEDS – SharePoint will offer IT the support it needs to ensure that Social is not only a success with users, butcan continue to grow and meet IT’s governance, security, and compliance needs.
  • SharePoint helps you quickly customize and narrow your search to deliver more relevant results, and also provides recommendations on people and documents to follow. SharePoint 2013 makes it easy to discover answers and take action.New search profile features help you connect with people across your organization and easily discover interests, past projects and documents they’ve worked on. SharePoint 2013 helps you find answers to questions and discover experts you never knew existed.
  • VUB Bankhttp://www.microsoft.com/casestudies/Microsoft-SQL-Server-2012-Enterprise/VUB-Bank/Bank-Helps-Employees-Generate-Self-Service-BI-for-Better-Reporting-and-Decision-Making/690000000081Web StandardsApps are built using industry proven web standards such as HTML, JavaScript and RESTScalable and SafeApps are independently scalable which reduces total cost of ownership. Apps are secured and isolated from SharePoint AccessibleApps can be accessed from any device with a web browser.The Cloud App Model provides a loosely coupled architecture for building apps in SharePoint 2013. This loosely coupled architecture gives the freedom of choice for developers in the technologies they use to not only host their applications but also the tools they use to write them. These apps leverage industry web standards such as HTML, JavaScript, jQuery, JSON, REST, OData and OAuth to provide apps an integrated user experience, yet architecturally provides for loose coupling with SharePoint 2013. Apps for SharePoint execute “off-server” which allows for the app to scale independently of SharePoint and provides for a more secure SharePoint environment. You have complete control how apps interact with SharePoint. IT has complete control on how users discover, acquire and license apps. IT can specify which apps are white listed for install, or provide a mechanism where users can request an app that requires IT approval to install.Apps can be accessible from any device with a web browser whether it be a PC, Tablet or smart phone. If it has a web browser that supports the latest web standards then it can be used.Supporting TechnologiesClient Side RenderingCloud App ModelREST End-PointsClient Object ModelOAuth 2.0Visual StudioNAPA
  • SharePoint offers a special library app called an Asset Library. An Asset Library is pre-configured to use special features that help you manage rich media assets, such as image, audio, and video files. An Asset Library is a type of document library with additional functionality to support the storage and organization of rich media, such as images, videos, or audio files. The Asset Library template comes with the following features:Thumbnail–centric views By default, the Asset Library uses a Thumbnails view, which displays small thumbnails of the assets in the library. This view makes it easy to quickly browse for images and video files.Overlay callouts In Thumbnails view, the name of the file is shown on a black overlay at the bottom of the thumbnail. When you move your pointer over the thumbnail, this overlay scrolls up, covers the thumbnail, and reveals clickable buttons. One button lets you select the files, and the other opens a detail panel with more options.Podcasting support through RSS You can use the RSS feature of the asset library to set up podcasting for audio or video files that are stored in Asset Library. Site users can subscribe to the RSS feed for the library to receive new content as it is added via podcast. To learn how to add audio or video to a newsfeed post, see Add features to a newsfeed post.Digital asset content types The Asset Library is pre-configured to support content types for image, video, and audio files. These content types include columns that enable you to track metadata that is specific to rich media assets. To learn more about content types, see Introduction to content types and content type publishingAutomatic metadata extraction for image files When you upload image files to an Asset Library, any existing metadata for the file is extracted and promoted to any available corresponding columns in the library. Automatic metadata extraction is supported for the following image file types: BMP, GIF, ICO, JPEG, PNG, and TIFF.
  • Deniz Bankhttp://www.microsoft.com/casestudies/Microsoft-SQL-Server-2012-Enterprise/DenizBank/Turkish-Bank-Gains-a-Competitive-Edge-and-Gives-Users-Self-Service-Reporting-Tools/710000000458We’ve introduced a new lightweight task management feature in SharePoint to help coordinate tasks across the entire team. Sites make it so easy for teams to work together, sharing content, organizing tasks, editing lists and it’s designed to work with Microsoft Project so it’s easy to aggregate all your project tasks across the team or the entire organization giving project managers broad visibility into the priorities and initiatives people are working on.Organize everything from personal tasks, lightweight group or team projects, or organization wide change projects. SharePoint helps you organize your projects and tasks giving you a view into upcoming deliverables aggregated across SharePoint, Outlook and Microsoft Project so you can keep your projects on track
  • http://www.microsoft.com/casestudies/Microsoft-FAST-Search-Server/National-Australia-Bank/New-search-tool-helps-NAB-improve-customers-online-experience-while-search-data-optimises-site-design-and-content/4000011597New search tool helps NAB improve customers’ online experience while search data optimises site design and content. NAB refreshed the customer Web site nab.com.au, and deployed Microsoft FAST Search Server 2010 for Internet Sites as an online search engine. This enables customers to find information from NAB more easily online. Benefits Better search performance for customersAbility to make content more relevant to customer needs Better Web site managementDesign with any toolUse familiar web design tools & standards to create stunning sitesCustomize faster with simplified markup and style sheetsOptimize layout and content for context and deviceOptimize for any deviceTailor designs and target devices with device channelsEasily create mobile apps with REST API’sSmart management of media assetsAuthor once & reuse contentCreate and publish content and product catalogsReuse content across sites and devicesIntegrated translation servicesWith SharePoint 2013 organizations can deliver engaging, adaptive and cross-channel customer experiences to drive online business success.The first step of creating an engaging experience is getting the design right. In this release we made sure that designers areNOT tied down to the restrictions of the tools and standards they have to use, instead they can focus their energy on creating beautiful and rich sites using the design tools(Such as Adobe Dreamweaver, Microsoft Expression Web, or any other HTML editor) and standards(HTML5, CSS, JS) they are familiar with.Also in this release, we have significantlyminimized the SharePoint knowledge needed to successfully design and brand a SharePoint site with the new simplified markups, style sheets and the snippet gallery. For instance the snippet gallery allows designers to easily add SharePoint functionality to their sites without requiring them to be a SharePoint developer or expert.
  • DHCU Community Credit Unionhttp://www.microsoft.com/casestudies/Microsoft-Office-365/DHCU-Community-Credit-Union/Credit-Union-Improves-Service-with-Online-Productivity-Tools-Increases-Sales-14-Percent/710000002126 “We’re using SharePoint Online to better manage sales leads and Outlook Web App to access email on the mobile phone of our choice. Vendor communications have improved.” -Matt McCombs, Executive Vice President and Chief Operating Officer at DHCU Community Credit Union. You can access SharePoint sites on the go from an Internet-connected mobile phone or tablet. You can view and update documents, lists, and other site content and collaborate with colleagues, all from your mobile device.
  • The following Social features are some of the features that let people work together in ways that are most effective for them. How? By providing great collaboration tools that anyone can use to share ideas, fine people and expertise, and location business information. The Ask Me About section of your profile lets you list your areas of expertise, presenting yourself as a go-to person for those areas to anyone who visits your profile page.Blogs can enable an organization to quickly share information among employees, partners, or customers. People can add insight to a difficult subject area, provide inspiration and guidance, or explain a new guideline or procedure.Communities Reputation, Badging, and Moderation -When you participate in community discussions, you build your reputation as an expert and earn points and badges that reward your contributions. If you’re really into it, you can become a moderator and work behind the scenes to makes sure the community thrives.-An online community is a virtual place where ideas are discussed and shared. It promotes open communication by fostering discussions among users who both share their expertise and learn from others. The company feed is an organization’s public newsfeed. All posts appear to the company, including those created by people that users might not be following. Users can follow people, documents, sites, and tags to see newsfeed postings associated with people, documents, sites, and tags that interest them. Microblogging lets users post items of interest in a newsfeed and participate in conversations.A newsfeed is a place to post information and reply to other posts, and to get updates about people and content you’re following. You can post to the public newsfeed or to newsfeeds on team sites on which you’re a member. Tag profiles display information about tags that appear in a newsfeed. Information includes conversations that reference the tag and a list of related tags. Currently popular #tags references appear in public newsfeed posts.A wiki is a site designed for groups of people to quickly capture and share ideas by creating simple pages and linking them together. Every team site is a wiki, but you can also add a separate wiki page library to a site, or create a large-scale Enterprise wiki as a separate site or site collection.
  • BrixPoint SharePoint Experts: Compliance for Banking and Capital Markets in SharePoint

    1. 1. Consumers demand more complex technology • Social connectivity for customers and professionals • Use more mobile devices • Cloud Lost customer loyalty • Financial crisis causing lack of confidence • Focus on customer experience Cost and margin pressures • Historically low interest rates • Focus on profitability and reducing operation costs Need for greater insight into financial risks and business performance • Unforeseen risks • Escalating regulatory requirements
    2. 2. Mobility and social channels Take advantage of cloud, mobility, and social media both internally and externally Customer acquisition and retention Enhance customer service tools, sales, and collaboration platforms Cost optimization and operational efficiency Improve individual and team productivity, reduce software and other IT costs Risk management and business insight Turn data into knowledge to increase revenue and efficiency while enabling agile enterprise risk management
    3. 3. Mobility and Social channels Customer acquisition and retention Cost optimization and operational efficiency Risk management and business insight Risk management and business insight
    4. 4. BENEFITS • Review and mitigate risk across business lines • Identify and act upon operational risks • Reduce risk management reporting costs “Creating a central risk repository with automatic analytics capabilities has improved productivity, expanded our coverage capacity, and given us more time to think about portfolio risk.” --Tony Patti, Chief Risk Officer, Credit Suisse Asset Management Predicted Loan Default – By Country Total Loan Balance Loan to Value % Risk Rating Greece $5.3m 12.6% Italy $3.6m 6.8% Spain $2.4m 4.5% Switzerland $2.1m 2.9% Sweden $1.9m 2.7% Denmark $2.3m 3.5% Portugal $2.1m 3.2% Ireland $1.7m 2.8% Austria $1.4m 2.4% Belgium $1.2m 0.8% Poland $0.8m 0.6%Norway $0.8m 0.8% Select All Europe N. America S. America APAC Middle East Africa Consumer Goods Total Loans: $985,000 At Risk: $375,000 Total Loans Predicted Loan Defaults Consumer Goods Financial Services Manufact. Telco $20,811,000 $1,413,000 $79,000 $55,000 $153,000 $33,000 $27,257,000 $1,249,000 $73,000 $49,000 $139,000 $79,000 $20,811,000 $2,322,000 $86,000 $49,000 $99,000 $101,000 $15,789,000 $1,085,000 $22,000 $18,000 $77,000 $174,000 $8,998,000 $1,721,000 $55,000 $120,000 $88,000 $44,000 $45,123,000 $3,612,000 $129,000 $440,000 $314,000 $198,000 $30,634,000 $3,729,000 $101,000 $97,000 $79,000 $101,000 $15,825,000 $844,000 $44,000 $15,000 $108,000 $99,000 $7,927,000 $2,117,000 $69,000 $71,000 $69,000 $80,000 $43,827,000 $2,429,000 $82,000 $97,000 $208,000 $170,000 $22,882,000 $1,940,000 $76,000 $75,000 $99,000 $101,000 $28,902,000 $2,108,000 $88,000 $91,000 $175,000 $94,000 Predicted Loan Default – Details By Industry
    5. 5. BENEFITS • Help ensure compliance with key regulations • Reduce compliance costs Bank of America created a SharePoint portal solution to comply with the Basel accords and better measure and address operational risk throughout the enterprise.
    6. 6. BENEFITS • Build compliance into everyday tools, reducing training and supporting productivity • Reduce cost of compliance • Automated processes reduce manual tasks, prove integrity Erste Abwicklungsanstalt (Bank, Germany) estimated 30% productivity increase with process automation plus an “audit-proof” centralized solution (built on SharePoint) for managing credit files. Develop SharePoint workflows for key financial processes Check Diagram to validate processes; customizable Issues with processes identified
    7. 7. ASB Bank (subsidiary of Commonwealth Bank of Australia) expects to reduce paper storage by 75% by organizing information with content management tools in SharePoint. BENEFITS • Meet compliance needs • Reduce cost of financial document storage Specify retention schedules for content types Submit documents for long term archival
    8. 8. BENEFITS • Meet compliance needs • Quickly gather information for audits, legal inquires • Reduce third-party software costs Search both Exchange, SharePoint Perform queries with simple filtering
    9. 9. BENEFITS • Save time working with auditors or partners • Reduce external auditor or partner fees by reducing time they spent searching for information Share documents with people inside and outside your organization Manage permissions Create simple document workflows Risk Audit Draft Risk Audit 2013 Risk Audit Draft Income statement Cash flow Balance sheet Operations CFO agreement CEO agreement COO agreement Bank statements Real Estate holdings Board of Directors meeting minutes December Final Report Organize all your team communications in one place Enforce sign-in to comply with data governance and protection policies
    10. 10. Mobility and Social channels Risk management and business insight Cost optimization and operational efficiency Customer acquisition and retention Customer acquisition and retention
    11. 11. BENEFITS • Increase customer satisfaction, retention • Increase revenue per financial customer with sharing of best practices “Our research shows that we can increase our productivity up to 25 percent by using social collaboration in the enterprise,” -Mark Rogers, Head of Enterprise Content Deployment Management, ASB Bank Roth IRA Conversion Small Business Sara Davis New Changes to Roth IRA Rules All Small Business Owners Should Know About New Changes to Roth IRA Rules All Small Business Owners Should Know About 23 days ago Kathy Richards Webcast on NEW Roth IRA Changes for Small Business Owners New Roth IRA Changes for Small Business Owners 15 days ago Sara Davis The calculation worksheet to calculate Roth IRA contribution rates for Small Business Own… the new Roth IRA discussion guide should also be available soon Great - Branch Managers really liked the piece we sent out last on There are many pros and cons. The most common motivations for rolling the money out to an #IRA are control and flexibility. First, when you roll into an #IRA, you are no longer limited to the choices the #401(k) plan offers. Second, you may cut costs if the investment options in the #401(k) are expensive as is common with small plans. #401K account to a new #Roth account. They are still working and have a #small business. They just started the new job and worked at the previous business for approximately 5 years. They want to move approximately $63,000. They are about 8 years from retirement. What rules apply here and what unique opportunities exist due to the business? I have a new customer who would like to transfer an existing Kathy Richards #401K 20 uses within the past week #Roth 15 uses within the past week #small business 12 uses within the past week #Retirement 11 uses within the past week #ETF 5 uses within the past week Newsfeed
    12. 12. BENEFITS • Resolve customer issues faster • Reduce office space costs and travel costs for financial advisors Search for expertise Mobile Banking Setup for Windows Phone Mobile Banking Setup for Android Mobile Banking Setup for iPhone Discover experts based on their interests or past projects Facebook and LinkedIn feeds integrated into Contact Card Click-to- communicate via email, IM, voice & video
    13. 13. Mobility and Social channels Customer acquisition and retention Risk management and business insight Cost optimization and operational efficiency Cost optimization and operational efficiency
    14. 14. Develop custom applications that connect to external or line-of-business systems. Extend the capabilities of SharePoint by lighting up new productivity scenarios with apps. BENEFITS • See and measure branch performance in real-time • Take action to apply more resources where needed. PersonalServices SmallBusinessServices MerchantServices MortgageLoans MortgageLoans MortgageLoans Lending PersonalMerchant SalesAmountbyBranch $400,000-$600,000 $600,000-$800,000 $800,000-$1,000,000 Grand Ave Branch New Deposits Lending 55 ▲ $2.5 ▼ Investment #ofDepositors $17.5 ▲ 1,521 ▲ “With faster and more effective information delivery and collaboration among all…users, we can take better advantage…of our data, improving the quality of our business decisions” -Juraj Fehér, BI Architect, VUB (Bank, Slovak Republic) Example of app - Access to data that provides managers to better manage branch sales performance.
    15. 15. BENEFITS • Reduce training costs, as well as travel costs associated with training • Deliver certification training more easily and at most convenient time View video thumbnails without leaving your search page Graphical refiners let you modify your query Investments- Tax Updates 2013 Investments- Tax CFP Certification Requirements Search and view video eLearning experiences Required for CFP. Training on the new tax updates for 2013 related to investments. Covers changes in the taxing financial investments for individuals CFP Insurance PlansCFP Training Asset ProtectionTax PlanningEmployee Benefits Financial PlanningEstate PlanningRetirement Planning
    16. 16. BENEFITS • Reduce project completion or go-to-market time • Improve teamwork and faster, better-informed decision making
    17. 17. Risk management and business insight Customer acquisition and retention Cost optimization and operational efficiency Mobility and Social channels Mobility and Social channels
    18. 18. BENEFITS • Empower business users to keep content fresh without having to rely on IT • Reduce TCO while delivering flexibility across the enterprise • Engage customers with rich experiences across multiple devices Design sites with virtually any tool, customize faster with simplified markup and style sheets Optimize for any device – easily create mobile apps Author once and reuse content across sites. Integrated translation services “The real power of FAST search is that it helps us get customers straight to the information they are looking for, so they have a better online experience.” --Sandeep Baruah, Head of Online, National Australia Bank Dynamic search
    19. 19. Use SharePoint and SkyDrive Pro to easily and more securely share documents.Access from virtually anywhere on virtually any device. Financial advisors can access information about customers, products. BENEFITS • Improve mobile productivity of financial advisors • Improve sales, driving the number of financial products per customer DHCU Community Credit Union (US) is using SharePoint Online to better manage sales leads from office or mobile devices. • 14% increase in loan balances • 5% increase in credit union membership See which files are shared and with whom Shared with Everyone Financial Advisor Guidebook Tax Code for Retirement Accounts High Net Worth Advisor Presentation Alpha, Beta Calculations Portfolio Analysis 2013 Monte Carlo Simulation Retirement picture Retirement Model for Different Ages Transition Rules for Qualified Plans Get to your SkyDrive Pro from multiple devices* High Net Worth Advisor Portfolio Analysis 2013 Tax Code for Retirement SkyDrive Pro Access offline, stay in sync
    20. 20. BENEFITS • Gather approvals for responses on social forums faster, helping customer satisfaction • Streamline decision making processes Share ideas and get answers in real time on your Newsfeed Follow people, documents and sites #hashtags @Mention people Like Pervasive presence integration
    21. 21. Deliver fast return on investment (ROI) and decrease business risk for line-of-business (LOB) applications and SharePoint Implement, extend, and improve business processes by building solutions on SharePoint Increase access to business-critical data by connecting back-end systems to Microsoft SharePoint  Organizes ad hoc data  Process-enabling  Productivity-driven  Familiar platform  Highly organized  Process driven  Rich data  Specialized users
    22. 22. 1st Year ROI $200-$300K Annual cost savings 50-80% Shorter cycle time up to 90% Fewer errors/re-work 95% Fewer IT support hours 60% Faster deployment

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