Halcyon Financial Te

Excellence in IT

Our goal

To use technology to add value to your business.

We aim to provide the best possible service We focus solely on clients within the capital markets space We understand your business, and know what technology works best for you

We are staffed with employees exclusively with extensive financial services experience

We g arantee endor agnostic ad ice ith no mark p on 3rd part We guarantee vendor agnostic advice with no markup on 3rd party goods or services

Our national presence provides broad hours of coverage and reduces impact of local disastersimpact of local disasters

We back up what we promise with service level agreements based on measured end‐user satisfaction levels

© Copyright 2010 – Halcyon Financial Technology, L.P. September 2010 Page 2

A new IT support model

Highest quality support Sector‐specific expertiseSector specific expertise

Focusing on alternative investment, broker‐dealer, advisory, family offices and investment firms

Experienced strategic guidanceExperienced strategic guidance Enterprise‐class infrastructure Cost control via aggregated purchasing and vendor

tmanagement Variable cost structure based on your size


HalcyonFT Complete IT

HalcyonFT Independent contractor Traditional IT Service provider Internal IT

Increase quality of advice

Increase service quality and coverageReduce Expense and coverage

Increase knowledgeReduce attention drain

Increase flexibility

Reduce conflict of

Reduce risk


interest

The Complete IT product


Tailored IT service

First‐class service with no compromisesp Support provided by IT professionals with extensive financial

services experience Around the clock monitoring with class‐leading tools Comprehensive executive reports


Support platform


Improve reliability & reduce risk

Reduce your administrative overhead and provide you with y p ypeace of mind

We work with you to define your strategic technology plan, d b ild t i f t t th t t t dand build a custom infrastructure that meets your exact needs1. Enterprise class platform for your desktops and servers2. Increased reliability3. Better remote access4. Best‐in‐class security, disaster recovery and data protection

Increase the number of people who understand your systems Increase the number of people who understand your systems


Business application knowledge

We know your business and your applicationse o you bus ess a d you app ca o s We work with you to improve your business processes to

utilize the most appropriate technology We are your vendor liaison, intercepting & solving any

problems We represent you, not the vendor We recommend what we have seen work We help you acquire the applications that you need


Trading technology

Portfolio and Fund Accounting

(Advent, Sunguard &Sunguard & Archway.net)

Order Management System (OMS)(Charles River, Fid & BNY

Market Data & Research

(Bloomberg, Thomson Reuters

Core Infrastructure

(Email, Network, Data S M bil

Fidessa & BNY ConvergEx

Thomson Reuters & Capital IQ)

Storage, Mobile, Voice & DR)

Electronic Trading Systems(GS, JP Morgan & Morgan Stanley)

Execution Brokers & Primes(GS, UBS, JPM, RBS, DB, BTIG & L i C it l) g y)

Execution Management Systems (EMS)(Flextrade, Portware &

Louis Capital)


RealTick)

Technology strategy guidance

Ongoing partnership between our executives to define, g g p p ,deliver and review your IT goals

Monthly executive meeting to review service level, IT spend d t t i IT dand strategic IT needs

Guaranteed CTO‐level attention Monthly compliance and security reportsMonthly compliance and security reports


Compliance technology

SECBest

PracticeEmail and

IM retention& supervision

Business continuity

Outside serviceprovidersreview

SAS 70 certification

Personal Trading

Proxy Employee technology

Fund performance reporting

Technology Infrastructure

Voting

Employee outside activity

Privacy &

AML, OFAC and

Patriot Act

technologyusage

FederalState

Privacy &information securityValutation

& Pricing

Record Keeping


Cost control

Aggregated purchasing reduces the cost of your IT purchasesgg g p g y p Gives you same advantages of scale as your larger competitors Management of your IT budget and optimization of your

market data, software licensing, telecommunications and support contracts

We take care of the details; you focus on your businessWe take care of the details; you focus on your business


Duty to our clients

We put our clients’ interest above our own

We perform security agency‐level vetting and background checks on all employeesp y

All of our employees agree to strict confidentiality and restrictive personal trading agreementsp g g

We hold ourselves accountable to the highest standard of ethics and policiesethics and policies


High quality and satisfied team

Well compensated with a 50/50 split of free operating cash flow as bonus

A career path for their futurep

Flat support organization staffed by industry veterans

Membership in a quality team

Exposure to the latest technologyExposure to the latest technology


Our employee rules

1. For the client, the answer is Yes,2. Over‐communicate3. Know the client4. Find and fix the cause, not just the symptom5. Always maintain professional decorum ‐ respect is given and

expected between client and our staffexpected between client and our staff


Typical client infrastructure


How to contact us

Telephone (415) 683‐0740Email [email protected]

101 California Street, Suite 3100San Francisco, CA 94111

420 Lexington Avenue, Suite 2650New York, NY 10170


Documents

Halcyon Financial Te