Everything you need to know about Deal & List Managemet Systems; challengesm, solutions, benefits, DML Dashbaord.

1. Streamlining Deal Process
from Inception to Conclusion
Deal & List Management Systems (DMS, LMS)
Deal management is one of the most cumbersome tasks Control Room Officers have.
It spans across multiple departments and encompasses the entire range of risk management,
subsequent list and employee status updates.
From the information captured at deal entry through the various conflict checks, possible
restriction on trading and Chinese wall creation, up until the deal is concluded, the Control
Room function provides the backbone for complying with regulations surrounding Conflict of
Interest, Investor Protection and Systems & Controls. Using Matrix-IFS’ dedicated dynamic
screen you can systematically address the numerous challenges preventing Officers from
performing to the best of their ability.
Focus Area The Challenge Our Solution
Are not enforced or traceable and utilize
multiple systems and manual tasks
Systems don’t provide flexibility to create
& maintain workflows specific to deal types
Enforcement according to chosen
parameters, with dynamica updates
A dedicated interface to easily create
and assign workflows per deal type
Workflows
External
System
Integration
Conflict
Checks
Control
Room
Lists
Real-Time
Transparency
& audit
Reporting
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Reference data on deal participant are
captured through unintegrated 3rd party
systems
Relevant lists are updated manually after
being notified by the deal team
Manual process for ‘over-the-wall’ crossing
and employee status updates increases
opportunity to miss relevant flags
No deal status visibility
No tracking & visibility on RFI’s, response
status, documents attached/ added etc.
No consistent and comprehensive audit
trail across activities and steps within deal
lifecycle
Creating reports is tedious, lengthy and
resource-heavy, often prone to errors
Missed conflicts due to manual checks
involving multiple departments & deal
changes not updated in real time
Ability to link to external systems,
allowing single point of interaction
and full audit
A Portal featuring dedicated screens
and automated conflict checks
A single interface that adds / edits
lists and employee status
Automatically updates the Control
Room surveillance lists
A real-time view of all deals using a
dedicate dashboard
Instant notification when a
changehas arrived or changed
Full audit trail logged across all deals,
steps and involved employees
An ability to create report templates,
auto-complete fields upon generation
and distribution to a mailing list
A Solution to Every Challenge

2. The Solution
Matrix-IFS’s DMS and LMS Portal
The Matrix-IFS Capital Market Advisory Team helps
Financial Institutions design and implement efficient and
effective Deal and List Management Systems to achieve
their business, ITand operational objectives.
Our team of experts provide a broad and unique range
of advanced design, development, integration and
dashboarding capabilities creating a true holistic &
common User Experience for all roles and steps
involved in the full lifecycle and ecosystem
related to the DMS and LMS process.
Deal Status
Deal Members
Results of
Conflict Checks
according to
predefined parameters
Ad-hoc Slice & Dice
for additional investigation
& custom reporting
Full Visibility Across All Deals
This portal is custom built according
to each firm’s DNA and processes,
providing full coverage across all
steps of the deal:
Pre-Deal
Deal Preparation
Business Review &
Conflicts Committees
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Deal Finalization
Deal Conclusion
The DMS - Operational Portal
Potential Risks
The DML Dashboard
Key Benefits of Matrix DMS and LMS Portal solution
One Central Hub for entire DMS and LMS process
streamlines, simplifies management
Complete visibility and tracking
Enhances velocity of the entire process
Transparency across all deal members achieving true
collaboration, saving time and increasing efficiency
All DMS & LMS activities occure in the HUB ecosystem
Outlines risks and possible COI in near real time
Reduces errors and Risk
Enhances operational efficiency
Flexibility:
Leverage any monitoring or list management solution
Easily add conflict checks, triggering points,
notifications and associated workflows
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For more details about our DMS / LMS solution contact David Grinholz, Director of Capital Markets Practice
at david.grinholz@matrix-ifs.com | Visit our website: www.matrix-ifs.com/capital-markets
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