BrokerFabrik is an all-in-one software system for financial institutions that integrates a unique client stock trading experience with a robust operational backbone. It's all in one place, front-to-back: we call it broker in a box.

1. Run your brokerage business with one powerful solution.
A Product

2. The all-in-one software system for
brokerage firms that integrates
a unique client trading experience
with a robust operational backbone.

3. |
A changing environment brings new success
factors for brokerage businesses
3Oiver Wyman, 2015
Cost effective setup Efficient compliance Engaging user experience Future-proof systems
Current technology setups do not broadly fulfill these requirements
 Software-as-a-Service
with monthly
subscription fee
 Pay as you grow
 Integrated systems
with data continuity
 Advanced control
tools eliminating
manual work
 Always-on mobile and
desktop channels
 Targeted information
driving user activity
 Innovation-as-a-
Service continually
delivering new
features
 Open architecture

4. |
Appealing client trading offering,
enabling differentiation and driving
trading activity
Advanced business operations
features that help reduce costs and
complexity
Customisable Software-as-a-Service
offering with modular architecture
Full integration with existing legacy
setup and systems
4
The one robust
front-to-back solution
brokerage firms need
to lead their business
into the future.

5. |
Sophisticated features transform the
brokerage business proposition
5
For
Clients
For the
Business
Powerful online and mobile platform for
trading anywhere, anytime
Elaborate analytical and management
features to stay informed and in control
Middle office capabilities ensuring
productive operations
Optimised client management and
interaction tools to stay in touch with users
Compliance and supervisory components
for efficient control of regulatory risks
Open architecture that flexibly integrates
preferred partners with minimal effort

6. |
BrokerFabrik brings delight to Clients…
6
Research Trading Portfolio Analytics Account Management
 Fast company search
 Company profiles & stats
 Advanced charting
 Analyst recommendations
 Industry and corp. news
 Industry peers lists
 Streaming quotes
 Easy trade capture
 Order vetting
 Compliance checks
 Buying power check
 Order routing & execution
 Audit trail
 Position keeping
 Client holdings
 Portfolio performance
 Asset allocation
 Total historical returns
 Single position returns
 Buying power
 User account management
 Cash and stock transfers
 Corporate actions
 Election notifications
 Nominee vs. sub-registry
 Entitlements processing

7. |
… and efficiency to the Business
7
Client Management Middle Office Operations Compliance & SupervisionAccounting & Payments
 Digital account opening
 Account management
 Fees settings
 Client support
 Communication channels
 ChatBot
 Administration cockpit
 Order management
 Post-trade processing
 Settlement cycles
 Trades history and search
 Inventory management
 Firm chart of accounts
 General ledger interface
 Sub-ledger, cash balances
 Trades accounting engine
 Book of records
 Deposits and withdrawals
 Settlement obligation view
 Events screen
 Full audit trail logs
 Permissions control center
 Operations monitoring

8. |
The BrokerFabrik effect on User Experience
8
Research
&
Charting
Trading
Portfolio
Mgmt
Move from this… …to a truly engaging solution.

9. |
Differentiating features in product pipeline
9
Virtual
Onboarding
Chatbot
Channel
Activity
Feeder
…
 Client account opening with minimal paper document requirements
 Facilitation of non face-to-face onboarding, using video technology
 Ready for potential eID implementation in Hong Kong
 Client communication channel embedded into solution
 In parallel leveraging established messaging channels, eg, WeChat
 Chatbot for automated communication with client on simple topics:
eg, cash balance, trading performance, technical questions, etc.
 Allowing brokerage firm staff to focus on high-value communication
 Engine generating relevant information for clients aimed at
increasing client engagement and support trading activity
 Using built-in communication channels, incl. Chatbot
 Example: most traded stocks in last hour, best performing stocks

10. |
BrokerFabrik ticks the box on core needs
10
Cost effective
setup
 One integrated platform that can replace complex legacy system landscapes.
 Software-as-a-Service that grows with you, paid by monthly subscription.

Efficient
compliance
 Regulatory compliance screens and audit trail to easily keep oversight.
 Account opening module that simplifies processes today and is future-ready.

Differentiating
user experience
 Feature-rich yet simple to use client interface built to drive active trading.
 Chatbot feature and direct channels to efficiently inform and engage clients.

Future-proof
systems
 Continuous flow of new features that can be subscribed with a click.
 Modular underlying architecture for flexible adaptation to new requirements.

Highlights how BrokerFabrik makes a concrete difference

11. |
Integrated principal setup and workflows
11
Executing BrokerMarket Data
Corporate Actions Custodian
AccountingGeneral Ledger
Reports
Statements
 Trade Reports
 Settlement Reports
 P&L Reports
 Account Reports
 Reconciliation Reports
 Are statements being generated
 Are transaction codes working
 Are narrative correct
 Accounts
 Transactions
 Cash Withdrawals
 Cash Balances
 GL Postings
 Accounts
 Account Status
 Cash Balances
 Reference Data
 Fundamental Data
 Streaming Data
 Historical Data
 News
 Calendars
 Fix Session Management
 Order Placement and Confirmations
 Order Executions
 Open Order Reconciliation
 Fix Compliance Tags (OMS & Surveillance)
 Settlement Date Stamp
 Trade Confirmations
 Transaction Reconciliation
 Settlement Obligation
 Position Reconciliation
 Corporate Action Handling
 Transfers
 GL Postings
 P&L Reporting
 Global Set of Accounts
 Security Master
 Custody Omnibus a/c Holdings
 Clients Accounts
 Events
Reporting Portal
Client Onboarding
P2P&Files
FIXProtocol
Trade Reconciliation (Status)
SODBatchFile
EODBatchFile
Files SWIFT Messages
Create Client a/c

12. |12
Fully modular
architecture
allows flexible
configurations

13. |
Implementation phases and delivery
principles
13
Client Facing
Complete Solution
Customised Setup
Development Go Live
Deployment &
TestingIntegration
Out of the box or
customised to client needs
Minimised disruption of
ongoing client business
Agile delivery within
minimal timeframes
Supported transition of firm
and clients to new setup
Integration with
client legacy
systems
Integration with
third parties used
by client
End-2-End
integration testing
Functional UI
testing
Bug fixing and sign-
off
Production
Environment
Staff and client
onboarding
Support
Technical analysis
Development of
client-specific
solution elements
Delivery principles
2-3 months 1-2 months2-4 months

14. |
How can help you now
The overallmarketis attractiveand growing.
Costsof doingbusiness and competition are intensifying.
Currentsystems useddon’t driveclientactivity,breedrisksand are complexto run.
Success requires an integrated,cost effective,continuouslyevolving systemthatengages clients.
Get in touch to
find out more.
www.brokerfabrik.com
info@finfabrik.com
Demo available.
BrokerFabrikoffersmoderntechnologyto bring yourbrokeragebusiness to the next level.
14

15. Appendix

16. |
A team powered by experience and synergy
16
Alex Medana,
CEO | The Hustler
 18 years experience in Investment Banking Operations,
Lean Re-engineering and Entrepreneurship
 Leadership, People, Sales
Marcel van der Vliet
CTO | The Builder
 15 years experience in Trading Technology, Developer
Leadership and Entrepreneurship
 Technology, Program Management, Partnerships
Dr. Florian M Spiegl
COO | The Whip
 9 years of experience in Strategy Consulting, Wealth
Management and Entrepreneurship
 Strategy, Product, Execution
Unfair advantage:
Access to pool of top talent, ready to go+
TradeSense
…

17. |
Core System: engaging Client Features
17
Research & Trading on
mobile or desktop
Trade anywhere,
anytime
 Trading
Dashboard
Dashboard that can be customised
by clients with widgets to provide
an overview of their activities.
 Stock Screening Comprehensive research, analytics
and charting tools as a basis for
informed investment decisions.
 Trade Capture Streamlined order creation function
tailored to support perfectly timed
and educated trades.

18. |
Core System: engaging Client Features
18
Portfolio Analytics &
Account Management
Stay informed and in
control
 Portfolio
Analytics
Showing buying power, wealth
development, relative performance,
down to single positions.
 Corporate
Actions
Events overview for users to stay on
top of dividend payments, stock
splits and other events.
 Account
Management
Account management platform to
change details and permissions,
receive trade confirmations and
trigger cash and stock transfers.

19. |
Core System: effective Business Features
19
Client Management &
Interaction
Stay in touch with users  Account
Opening
Digital opening and maintenance,
making client onboarding less a
hassle for firm and clients.
 User
Management
Account and user management
with per-user permissions all in one
place, including multi-level roles.
 Fees Setting Flexible fees and commissions
setting options to optimally support
the business.
 Client
Communication
Multiple integrated communication
tools leveraging different channels
such as email, sms or posts.
Chatbot to come soon.

20. |
Core System: effective Business Features
20
Middle Office
Operations
Run effective operations  Order
Management
OMS pad covering order routing,
history, transactions and settlement
for optimal post-trade processing.
 Activity
Monitor
Central overview and management
of client buying power, trades,
positions and stock records.
 Accounting
Engine
Integrated accounting engine to
keep records aligned and ready for
external reporting.
 Operations
Schedule
Cockpit to provide an overview of
scheduled and executed events to
know what happens when.

21. |
Core System: effective Business Features
21
Compliance and
Supervisory tools
Control regulator risks
efficiently
 Compliance
Screen
Regulatory compliance screen that
helps with tracking relevant events.
 Reporting Tools Complete audit trail and custom
reporting tools including system
logs to keep data at fingertips.
 Operational
Center
Operational command center that
keeps firm informed and in full
control on system functionality.
 Permissions
Management
Users permissions to ensure limits
and controls, built into the user
workflow and enforced across all
functions.