In this new Accenture Finance & Risk presentation we explore an approach for implementing financial reporting robotics in order to automate processes across regulatory reporting capabilities and improve efficiency. View our presentation to learn more. For more on regulatory reporting, see presentation on User Defined Tools: http://bit.ly/2rinORX Visit our blog for latest Regulatory Insights: https://accntu.re/2qnXs1B

1. FINANCIAL
REPORTING
ROBOTICS
MARCH 2017
MANUAL TO AUTOMATED
ACROSS PROCESSES

2. TABLE OF CONTENT
2
FINANCIAL REPORTING
ROBOTICS SUMMARY
INTRODUCTION TO
ACCENTURE’S REGULATORY
REPORTING
INTRODUCTION TO ROBOTIC
PROCESS AUTOMATION AND
METHODOLOGY
HIGH LEVEL ROBOTICS
IMPLEMENTATION
Copyright © 2017 Accenture. All rights reserved.
HOW TO GET STARTED04-06
07-08
03 09-11
12-18
APPENDIX 19-20

3. HIGH PERFORMANCE FINANCIAL
REPORTING FRAMEWORK
Consolidating frameworks, processes, and technology create efficiencies across reporting functions.
External / Internal Reporting
• Same data can be used to populate reports across
the regulatory landscape and for internal purposes
reducing redundant activities
MIS / Shareholders
• With more accurate reporting results, financial results
can be produced faster
Functions
• Cross function transparency can be created allowing
for the dynamic integration of new systems
BrokerDealer
AssetManagement
Insurance
CapitalMarkets
Bank
Reporting Regulatory (External)
OCC
FDIC
NCUA
FRB
SEC
CFTC
CFPB
FHFA
FINRA
NAIC
ESFS
Basel
Functions
Risk
Treasury
Finance
Human Resources
Control
Line of Business
External Data (Market)
Legal
Organization
• Overarching controls and governance to help manage
risk, with well communicated roles and responsibilities
Technology
• Seamless user experience to investigate, manage
risk, and create new information and data
BENEFITS OF CONSOLIDATION
Internal Management Information System (MIS)
and Shareholders
Informational
Sr. Management
Operations
Board Actuals Forecasting
Support Organization Technology
Workflow ModelingPolicy
Training
RCSA
Procedures
Resource Location
Audit
Business Rules Performance Metrics
Calculators Aggregation
Web Services Reporting Engine
Technical Rules Batch Management
Workflows and Requirements
Copyright © 2017 Accenture. All rights reserved. 3
Potential Robotic Process Automation Candidate
Process
Sourcing and
Validation
Reconciliation Adjustments Transformation Distribution
Data
Management
Investigation and Analysis
Security / Audit / Controls
Workflow and Requirements
• Straight through processing of information across
all systems to help meet reporting needs

4. FINANCIAL REPORTING PROCESS
CAPABILITY MODEL
Level 1
Level 2
Level 3
Level 3 – Sub Category
Manual activities impact key areas of the reporting process slowing efficiency,
increasing risk, and making it difficult to audit reporting.
CORE WORKFLOWS AND REQUIREMENTS SUPPORTING WORKFLOW
AND REQUIREMENTS
Security / Audit / Control
Investigation and
Analytics
Sourcing and Validation AdjustmentsData Management TransformationsReconciliation Report Preparation
CannedEntitlementsData Sourcing Controls TransactionMetadata Management Formulas Drill Down
Data Masking Capital ManagementTechnical Aggregated
Capital Thresholds and
Materiality
Quality Assurance
Report Changes and
Maintenance
Internal
Quality ControlExternal
Ad HocBusiness Derivation Rules Regulatory Thresholds
SOX PerformanceData Accuracy Aggregation Rules Escalation Criteria
Operations MarketRule Confirmation Escalation Tracking
Retention and Archiving Operational DashboardManual UploadLineage and Traceability Error Resolution
RiskModel Approval
RCSAControls
Model Definition and
Enhancement
Break Thresholds
Versioning DerivationsResolution
Restatement
Data Quality Pro Forma
ControlsAdjustment ApprovalData Approval Cross Report
Metrics
Model Governance
Security ReportsSourcing Adjustment InventoryData Governance Calculations
Mapping to General
Ledger
Data Mapping
Validation Rules Research Variance Commentary
AuditDatasets Report Submission
AnalyticsException Tracking Aggregation Attestation
Policy and ProceduresCapital Results Narrative
Copyright © 2017 Accenture. All rights reserved. 4
Potential Robotic Process Automation Candidate

5. ACCENTURE REGULATORY
REPORTING OFFERINGS
Accenture has developed a set of eight key regulatory offerings to tackle current challenges in
the regulatory reporting space.
Copyright © 2017 Accenture. All rights reserved. 5
DESCRIPTIONVALUEPROPOSITION
Regulatory
Reporting
Dashboard
Standard dashboard
components
measuring the
effectiveness of data
processing and
measurement of data
improvement over
time.
User Defined Tool
Assessment
Approach
Develop an approach
for the assessment
of manual tools for
determining a tactical
and strategic
elimination strategy.
Integrated
Reporting Tool Set
Implementation
Framework outlining
the standard process,
capabilities, and
technology
components required
to streamline reporting
and centralize finance
data for straight
through processing.
Data Quality
Management
Develop standard
data quality
management
operating model
(framework) for the
identification,
investigation, and
resolution of data
quality issues.
Capability Design
& Data Sourcing
Development and
design reporting
processes and
capabilities. Document
key steps for data
processing, populating
reports and collecting
key reporting data
attributes.
Target Operating
Model and
Governance
Create target
operating model and
governance structure
for regulatory
reporting capability to
allow for clear roles
and responsibilities,
ownership, process
documentation, and
governance.
Regulatory
Reporting Vendor
Implementation
Support the client’s
implementation of
regulatory reporting
tools through vendor
selection, business
and functional
requirement gathering,
tool configuration, and
testing/go live support.
• Increase automation
• Improve report
accuracy
• Improve data quality
• Reduce time to
change
• Reduce manual data
• Increase automation
• Improve report
accuracy
• Improve staff usage
• Reduce manual data
• Increase automation
• Improve report
accuracy
• Improve staff usage
• Reduce manual data
• Improve data quality
• Improve report
accuracy
• Improve data quality
• Reduce regulatory
actions
Improve governance
• Increase data
oversight
• Reduce risk
• Improve time
to report
• Increase ownership
• Improve
governance
• Reduce redundant
processes and
controls
• Increase automation
and functionality
• Improve report
accuracy
• Reduce manual
controls
Financial
Reporting
Robotics
Identification of
manual processes in
the key reporting
capabilities.
Assessment and
implementation of
Robots into the
regulatory reporting
operating model
• Increase
automation and
functionality
• Increase
productivity and
speed to report
• Increase security
and controls

6. RPA emulates human execution of repetitive processes via existing user interfaces
Robots are a virtual workforce controlled by the business operations team
RPA sits alongside existing infrastructure, governed and controlled by IT
Automated solution can
work 24/7
Cuts data entry costs
Significantly lower than
the cost of offshore staff
Robots work with
existing IT architecture
Double-digit reduction in
error rates
Robots can be trained
by business users
WHAT IS ROBOTIC PROCESS
AUTOMATION (RPA)?
Robotic process automation (RPA) offers a fast, cost-efficient and easy-to-implement solution to help
organizations address repetitive and time consuming processes that are only partially supported by
an integrated system and that hinder business operations flexibility.
Copyright © 2017 Accenture. All rights reserved. 6

7. Emulates
human
execution
of repetitive
processes with
existing
applications
Robots are a
virtual
workforce
controlled by
the business
operations
teams
Robots can be
trained by
business users
via
configuration
Sits alongside
existing
infrastructure,
governed and
controlled by
IT
Robots work
with existing IT
architecture –
no complex
system
integration
RPA METHODOLOGY
ALIGNING ROBOTICS TO PROCESSES
Most RPA projects start with an assessment of processes to be considered for automation. This is
followed by an analysis of business processes and training of the robots to execute the process.
Within 6 – 8 weeks, we are usually able to create a pilot process to demonstrate the benefits of RPA.
When is RPA relevant? How do you execute an RPA Project?
Discovery
Assessment
Solutioning Development Testing
Rule based / No human
judgement
Digital trigger and
structured, digital data
Highly manual / Time
consuming
High volume
At least 2 different
systems
Not frequent changes in
process steps and rules
Low exception volume
High likelihood of
human error
What are RPA’s
benefits?
Payback in 3 months
Processing costs
reduced
80%
No downtimes24/7
Quick Implementation
Re-usable process
elements
Average handling times
reduced
40%
Human errors
eliminated
Refocus of staff on
customer service
Copyright © 2017 Accenture All rights reserved.
7

8. THE REGULATORY REPORTING PROCESS
HIGH LEVEL ROBOTICS IMPLEMENTATION
ToBeProcess
Sourcing and Validation Process:
• Conduct Attendance Tracking
• Run Business Validations
• Run Technical Validations
• Manage Exceptions
• Investigation and Analytics
• Conduct Adjustments
Reconciliation
Comparing validated information
against a general ledger to obtain
correct amounts
Sourcing / Validation
Receive information from sources for
accuracy and completeness
Reporting Process:
• Investigation and Analytics
• Variance Analysis
• Variance Commentary
• Cross Report Reconciliation
• Information Approval
• Attestation
The reporting team can be assigned on reviewing analysis vs conducting exceptions and routine queries for reporting
Reconciliation Process:
• Aggregate Information to the Appropriate Level
• Identify Breaks
• Manage Breaks
• Investigation and Analytics
• Conduct Adjustments
Transformation
Develop outputs to aggregate and
populate information in reports
(Calculations, Derivations)
Transformation Process:
• Calculations
• Derivations
• Aggregations
• Model Governance
• Investigation and Analytics
AsIsProcess
Reporting
Review of populated information for
variance commentary and report
attestation
1. Perform Data Sourcing
Service Level Agreement
(SLAs)
2. Perform
Technical &
Business Attribute
Validations
3. Review Sourcing
& Validation Results
4. Submit
Adjustments
5. Review &
Approve
4-7 Days
1. Produce
Dashboard
2. Review &
Investigate
Breaks
3. Provide
Commentary
& Drivers
4. Cross Report
& Validations
5. Document
Results
6. Review
Results
7. Approve
Results1. Define Rules
2. Execute
Reconciliation
3. Review &
Investigate Breaks
4. Provide
Commentary /
Drivers
5. Approve Results
1. Identify
Attributes
2. Perform
Transformation
3. Perform Technical
Validation
4. Perform
Business
Validation
5. Review
Validation
6. Submit
Adjustments /
Request Data
7. Submit
Adjustments /
Correct Exceptions
3-5 Days 5 Days
10 – 20 Days 10 – 15 Days 10 – 15 Days 15 Days
5-7 Days
System
User
RPA Robot
Artificial Intelligence (AI)
Copyright © 2017 Accenture All rights reserved.
8TO-BE
AS-IS

9. Copyright © 2017 Accenture. All rights reserved. 9
• The length of time to recover the initial investments in assessment, licenses and development
is between ~3 and 6 months
• The agile implementation of robots allows clients to recover initial investment in main areas
of regulatory reporting
• Between 60% and 80% of regulatory reporting processes performed by users can be
automated through RPA robots and AI
• There are opportunities of automation in areas such as sourcing, adjustments, validations,
transformations and reporting
• The life cycle of a report (source, transform, aggregate and distribute) can be reduced in
50% to 70% of cases
• Sourcing, validations, reconciliation, transformation and reporting capabilities can be
significantly improved in terms of days
• Around 40% to 60% of resources aligned to the regulatory reporting processes are
impacted by robotics
• Resources taking exception management, adjustments and drilldown activities are examples
of candidates to be impacted by RPA and AI
HIGHLIGHTS FROM AUTOMATION IN
REGULATORY REPORTING USE CASES
Our experience indicates that automation in Regulatory Reporting bring great improvements
across processes in terms of speed, efficiency and accuracy
High Level of
Automation
Greater Speed across
Processes
Resources Impacted
by Automation
Quick Payback after
Initial Investment

10. Improves efficiency, speed
and savings
ARTIFICIAL INTELLIGENCE ACTIVITIES IN
REGULATORY REPORTING
A B C D E F
G H+
I J+
K
+
Data
Model
Regulatory Reporting
Capabilities
Artificial Intelligence
Activities
• Analyzes and manages exceptions
• Drills down issues and pain-points
• Learns new recurring errors
• Adjusts data based on breaks
• Investigates and comments variances
• Produces reports for approval
• Analyzes results and report changes
• Provides transparency and logs
• Measures controls
Security, Controls &
Audit
Sourcing and
Validation
Reconciliation
Data Management
Report Preparation
Adjustments
Transformations
Investigation
and Analytics
Aggregation
Calculation
Derivation
ReferenceTransactional
Sourcing and
Validation
Security, Controls &
Audit
• Investigates reconciliation breaks
• Interacts with lines of business

11. HOW TO GET STARTED
Copyright © 2017 Accenture. All rights reserved. 11

12. TYPICAL APPROACH FOR RPA
PROOF OF CONCEPT
Copyright © 2017 Accenture. All rights reserved. 12
Key Activities
• Engage process owners to confirm
scope of PoC (assuming prior
engagement to this point)
• Put in place system access,
credentials and desktops
• Prepare to host necessary
applications in a test environment
• Confirm that the RPA software
can be loaded onto the desktop
• Schedule workshop for current
state process documentation as
necessary
• Review candidate processes and
confirm RPA suitability
• Meet with stakeholders to explain
RPA and what will be done in the
PoC
• Confirm the objectives of the PoC
and “success” criteria
• Document current state of the
process through a workshop with
SMSs (subject matter specialists)
• Develop the solution design and
objects in the RPA technology
• Build PoCs
• Test proof of concepts with test
data
• Record a “before and after” to
communicate the concept to a
larger audience
• Demo proof of concept to
stakeholders
• Document key learnings, point of
view on key questions and next
step
• Document requirements to move
RPA solutions into production,
including involvement from
technology
Deliverables
• PoC technology requirements
are in place
• Current state workshops are
scheduled for Week 1
• Selected processes
• Confirmed objectives and
success criteria
• Process definition documents
• Solution design documents
• Working proof of concepts
• Demo presentation to
stakeholders
• Detailed walk through of the RPA
solution and how it works and
interacts with other applications
• Documented key learnings and
requirements for production
Prepare for Proof of Concept
(PoC)
Engage Stakeholders and
Select Processes
Build the Proof of Concept
Demo and Capture
Lessons Learned
Week 0 Week 1 Weeks 2-8 Week 8

13. FOLLOWED BY ROBOTICS FACTORY
Copyright © 2017 Accenture. All rights reserved. 13
Robotics Governance
Tech Office
Discovery Implementation Robot Support Model
• Robot management &
control
• Incident resolution
• Adaptations, as required
• Continuous improvement
• Business continuity
• Assessment of suitability
and saving potential
• Prioritization
• Phasing Plan
Roles:
Business Analyst, Process Leads
& SMS, Developer
Roles:
Business Analyst, Process SMS,
Robotics Developer, Tech.Arch.
Roles:
Robotics Operations IT &
Business Specialists
• Demand and capacity management
• Performance management and Key Performance Indicators
• Robotics technical architecture
• Automation technical design
• Support production capability
Roles:
Robotics Technology Architect
Blueprism® software Specialist
• Vendor management and licenses
• Change management
Pipeline Management
• Validate Business Case
• Prioritization of processes
to be automated
• Creation of a
roadmap
Roles:
Business Analyst, Process Leads
& SMS, Developer
• Process mapping
• RPA development
• Testing / User
Acceptance Testing
• Deployment
Business
Processes for
Automation
Processes
unsuitable for
automation
A B C D
… leading to a cost effective transformation at
scale and pace
Driving realization of digitization and robotics
benefits at scale
Leverage the right methods and tools that best fit for
each case
Increase efficiency and reduce cost-to-deliver and
robotics projects
Identify dependencies and avoid regrettable spend
Establish sustainable change and re-using best
practice
Reduce average handling times by about 40%, with
a 24/7 resilient operation (based on our experience)
Reduce run and license costs through rebalancing
and higher usability of the robots
The robotics factory develops and manages a digital workforce …
Robotics factory – General solution information
A cost effective and scalable robotics implementation relies on a factory with a structured approach
and measurable benefits

14. REGULATORY REPORTING
ASSETS AND ACCELERATORS
Robotics and Artificial
Intelligence Practice
Regulatory Remediation and
Compliance Transformation
Practice
Technology Partners
Assessment with Accenture RPA
methodology and criteria to identify manual
processes to be automated
Configuration and system integration of
automation solution
Definition and implementation of Robotics
Operating Model
By collaborating with Accenture, clients will
have access to a global set of subject matter
advisors
Access to 20+ offerings in regulatory and
compliance practice
Regulatory Reporting skills across capabilities
(Target Operating Model, requirements,
workflows…)
Accenture is working with clients and third
party vendors to expand existing capabilities
and assets into an efficient Regulatory
Reporting process
Blueprism®

15. ACCENTURE CONTACTS
Brian Stefka
Senior Manager
Regulatory Reporting Lead
Dallas, Texas
brian.stefka@accenture.com
Albert Janer
Consultant
Accenture Finance & Risk
New York
albert.janer.becerra@accenture.com
Charles Babcock
Manager
Regulatory Reporting Lead
New York
charles.babcock@accenture.com
Samantha Regan
Managing Director
Global Regulatory and Compliance
Lead
New York
Samantha.Regan@accenture.com
Robimon Varughese
Senior Manager
Accenture Finance & Risk – RPA Lead
New York
robimon.varughese@accenture.com

16. LEGEND CFPB: Consumer Financial Protection Bureau
CFTC: U.S. Commodity Futures Trading Commission
ESFS: European System of Financial Supervision
FDIC: Federal Deposit Insurance Corporation
FHFA: Federal Housing Finance Agency
FINRA: Financial Industry Regulatory Authority
FRB: Federal Reserve Board
NAIC: National Association of Insurance Commissioners
NCUA: National Credit Union Administration
OCC: Office of the Comptroller of the Currency
RCSA: Risk Control Self Assessment
SEC: U.S. Securities and Exchange Commission
SOX: Sarbanes-Oxley Act
Copyright © 2017 Accenture All rights reserved.16

17. This document makes reference to trademarks that may be owned by others. The use of such trademarks herein is not an assertion of
ownership of such trademarks by Accenture and is not intended to represent or imply the existence of an association between Accenture and
the lawful owners of such trademarks.
Accenture, its logo, and High Performance Delivered are trademarks of Accenture.
ABOUT ACCENTURE
Accenture is a leading global professional
services company, providing a broad range of
services and solutions in strategy, consulting,
digital, technology and operations. Combining
unmatched experience and specialized skills
across more than 40 industries and all business
functions—underpinned by the world’s largest
delivery network —Accenture works at the
intersection of business and technology to help
clients improve their performance and create
sustainable value for their stakeholders. With
more than 401,000 people serving clients in
more than 120 countries, Accenture drives
innovation to improve the way the world works
and lives. Visit us at www.accenture.com
DISCLAIMER
This presentation is intended for general
informational purposes only and does not take
into account the reader’s specific circumstances,
and may not reflect the most current
developments. Accenture disclaims, to the fullest
extent permitted by applicable law, any and all
liability for the accuracy and completeness of the
information in this presentation and for any acts
or omissions made based on such information.
Accenture does not provide legal, regulatory,
audit, or tax advice. Readers are responsible for
obtaining such advice from their own legal
counsel or other licensed professionals.
Copyright © 2017 Accenture All rights reserved. 17

18. APPENDIX
Copyright © 2017 Accenture. All rights reserved. 18

19. Robotics Artificial Intelligence
Desktop Automation
Robotic Process
Automation
CognitiveComputing
Digital Assistents
• Basic Automation
• Manual operator initiates a
sequence of automated steps
• Consolidating data from multiple
sources into a single view to
complete a process
• Jacada Inc, Exhilant
Technologies Private Limited
(Fusion)
• Virtual Workers
• Scheduled engine mimics
execution of manual user's
repetitive activities without
requiring intervention or
assistance
• Applying technology to
manipulate existing application
software to complete a process
• Pegasystems Inc (OpenSpan),
Blueprism®, UiPath Ltd,
Automation Anywhere, Inc.
• Machine Learning
• Systems that gain knowledge
from data as “experience” and
generalize what is learned in
upcoming situations
• Artificial intelligence and
automation technology to
change the processes
• Accenture Cognitive RPA,
IBM Watson®, Nuance
Communications, Inc.
• Smart Hybrids
• Computer-generated
character that simulates a
conversation to answer
questions or queries and
provide guidance
• Computer-generated
conversation to simulate a
response to answer
questions or queries and
provide guidance.
• Accenture Automated Digital
Assistant, IPsoft Inc.
(Amelia)
Deciding
Assisting Decisions
Scripting
Assisting Activities
Replacing
Executing Processes
Copyright © 2017 Accenture. All rights reserved. 19
Intelligent automation tools have advanced significantly over the past decade
SPECTRUM OF INTELLIGENT AUTOMATION
TOOLS