During this session, we will explore the complexities around streamlining the deal process from a Control Room perspective, presenting a solution that encompasses the full deal lifecycle including workflows, conflict of interest checks, list management, reporting and controls. Topics covered: The chaotic current state of deal management Deal Management challenges The solution – Deal Management Portal From inception to conclusion Use case of DMS application and benefits

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Deal&ListManagementSystems
Operational Portal
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David Grinholz
• Head of Capital Markets, Matrix-IFS
• Has over 10 years of experience in financial
enterprise software and services with a focus on
Trading, Settlement & reconciliation and Market
Surveillance monitoring.
David.Grinholz@matrix-ifs.com

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Agenda
Deal Management Objectives
Regulatory Framework
Deal Management Milestones
Challenges & Solutions
Operational Portal
Benefits
Additional Functionalities
Dashboard

4. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Deal Management objectives
Highlight potential Internal and External risk in a timely
manner to either stop a deal or bring it to its conclusion.
Control Room’s function is to quarterback the following aspects:
Firm and/or Entity due diligence and checks
Deal members conflict check and quarantine
Making sure that the Chinese wall is air tight – no leakage!
Respond fast to Deal related information updates

5. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Deal Management Objectives
Regulatory Framework
Deal Management Milestones
Challenges & Solutions
Operational Portal
Benefits
Additional Functionalities
Dashboard
Agenda

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Regulatory Framework
Key changes:
Objectives: from identifying conflicts to prevention
Disclosure is an option of last resort
Review their conflicts of interest policies
Report to managers on identified conflicts at least once a year
Main Impact on SYSC Chapter 10 (Senior arrangements,
Systems and Controls)

7. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Deal Management Objectives
Regulatory Framework
Deal Management Milestones
Challenges & Solutions
Operational Portal
Benefits
Additional Functionalities
Dashboard
Agenda

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Deal Management Milestones
1. Pre-Deal
2. Business Review & Conflicts Committees
3. Deal Preparation
4. Deal Finalization
5. Deal Conclusion

9. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Deal Management Objectives
Regulatory Framework
Deal Management Milestones
Challenges & Solutions
Operational Portal
Benefits
Additional Functionalities
Dashboard
Agenda

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Deal Management Challenges
Workflow definition and enforcement
Data needed – external system integration
Conflict Checks
Control Room Monitoring Lists
Real-time transparency, tracking and audit
Reporting

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Workflow Definition and Enforcement
Need clear cut flow for every:
Type of deal
Deal member roles & responsibilities
Every potential scenario covered
Conflict Check result
Enforcement:
Full proof even for a new member of the team
Control information flow and RFI, attachments etc.
Dynamic and Automatic according to user’s interactions

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Data needed - External & Internal System integration
From Pre-Deal stage – Tedious
Difficulty Tracking the Health of the Deal
Bottlenecks and Escalation – Delays
Updates in employee/ entity/ deal status - Creates havoc

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Data needed - External & Internal System integration
General deal details
Employees contact information
Relevant companies
Companies’ roles in the deal
Employee(s)

14. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Deal Management - Data Examples
Company Role – Acquirer, Investment, Purchaser of assents…
Deal Impact – High, Medium, Low
Deal Reason – Merger, Acquisition…
Deal Status – Active, Closed..
Deal Type – Financing, M&A…
Firm Role – Advisor, Manager…
Impact Type – Negative, Natural…
Jurisdiction – EU, APAC, US…
Restriction Scope – Employee, Proprietary, solicitation…
Restriction Type – Reg M, Research…
Manual no predefined combos

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Conflict Checks
Manual and “Flexible”
Involves multiple departments (Legal, HR, etc.)
No flexibility in adding /changing /duplicating
Updates of the results are not integrated with the workflow
Conflicts are often missed
Updates on a Deal require re-checking

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Control Room Monitoring Lists
Relevant Control Room lists (Watch/Restricted/Grey/OTW lists)
are updated manually after being notified by the deal team
Instead of automatic addition in conjunction with CR
notification and dedicated approval flow
Manual process for ‘over-the-wall’ crossing and update of the
employee status and relevant market surveillance list – slows
processing and increases opportunity to miss relevant flags
Auto update and notification of employee status

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Real-Time Transparency, Tracking and Audit
No visibility as to deal status:
Steps in process
Bottlenecks
Missing information, etc.
No tracking and visibility on:
RFI’s & Response status
Conflict Checks effected and results
Documents attached and added to the deal process, etc.

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Real-Time Transparency, Tracking and Audit
No consistent and comprehensive audit trail across
activities and steps within deal lifecycle:
Who did what and when?
What COI checks were effected and the results?
Employees Personal Account (PAD) impact and monitoring
CR List Impact
More…

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Reporting
Creating reports is tedious, lengthy and resource-heavy, often
prone to errors due to the multiple sources involved and the
volume of manually monitored and compiled data
Templates not integrated
NO automatic assistance in completing
NO validity and quality checks

20. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Agenda
Deal Management Objectives
Regulatory Framework
Deal Management Milestones
Challenges & Solutions
Operational Portal
Benefits
Additional Functionalities
Dashboard

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Deal Management Operational Portal
Single point of management
Workflow Enforcement
Creation and maintenance of project-specific insider lists
Wall crossing authorizations, prohibitions and approvers
Conflicts
Notifications
Control Dashboard & Reporting

22. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Agenda
Deal Management Objectives
Regulatory Framework
Deal Management Milestones
Challenges & Solutions
Operational Portal
Benefits
Additional Functionalities
Dashboard

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Benefits
One Central Hub for entire DMS and LMS process
Tailor Made to match the Firm's DNA and processes
All activities of the DMS and LMS happen within the HUB ecosystem
Complete visibility and tracking
Enhances velocity of the entire process
Transparency across all deal members achieving true collaboration,
saving time and increasing efficiency

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Benefits
Reduces errors and Risk.
Outlines risks and possible COI in near real time
Enhances operational efficiency
Flexibility - leverage any monitoring or list management solution
Easily add conflict checks, triggering points, notifications and
associated workflows

25. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Agenda
Deal Management Objectives
Regulatory Framework
Deal Management Milestones
Challenges & Solutions
Operational Portal
Benefits
Additional Functionalities
Dashboard

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Additional Functionalities - Notifications System
Flexible configurable framework for email generation
Email body is dynamic
Configurable forms system

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Additional Functionalities
Duplication of work-item
Configurable system to replicate existing objects - splits
Objects Hierarchy relations
Case->work-items->Actions. i.e. the system prevents work-items to be closed while they
have open action
Enhanced controls
i.e. extended auto complete, drop down lists with relations, dependency and validation
Event handling
Step change validation and post action event, 4 eye review
Health and Welfare Dashboard

28. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Agenda
Deal Management Objectives
Regulatory Framework
Deal Management Milestones
Challenges & Solutions
Operational Portal
Benefits
Additional Functionalities
Dashboard

29. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Deal Management Dashboard

30. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited.
Thank You
Yourfeedbackisgreatlyappreciated
emailme:CapitalMarkets@matrix-IFS.com