Cloud + MIC 2 = PMCmic Cloud = Integration, Compliance * Contacts – Making Clear Connections Anywhere Future - The future of growth and compliance is MICs Using the Cloud PMCmic

Staying Ahead – Keep Up With CRM2 Regulatory Focus 1. Compliance Demands are Increasing  NI Change Conclusions BCSC Investors are most vulnerable to high-risk investments sold in the private placement market  - would be better protected if they purchase securities from a registered dealer. In particular, they would have the benefit of advice about whether a purchase is suitable for them before they invest. 2. Back Office Audit Trail Mandates Non-Compliance with the exemptions  “…74% failed to provide purchasers of private placement securities with the risk disclosure…when we looked at MIE filers only in the sample, non- compliance with this requirement increased to approximately 90%. The risk disclosure obligation is fundamental to investor protection when buying from unregistered dealers.” 3. Investor Information Transparency Investors are most vulnerable to high-risk investments sold in the private placement market  “…In particular, they [Investors] would have the benefit of advice about whether a purchase is suitable for them before they invest.” 4. Maximize Distribution through Dealers & Reps Revoking the exemptions would have a negligible impact on capital raising  “…Private enterprises and mortgage investment entities do not rely significantly on this distribution channel for financing….”

CRM2 Compliance Demands Will Continue to Increase  Commission & Fee Disclosures  Regulatory Demands Transparency provided to Investors Reporting requirements Updates on Net Asset Value  Systems & Automations – Conclusions  Regulatory Demands With PMCmic – Firms Can Make Compliance: Affordable Automated Auditable Investor Ready & A Competitive Advantage

Advanced Operations & Success  Market Mandates – Meeting Investor Expectations  Streamline Agent Dealer Connections  Streamline Operations For Processing PMC mic Cloud

Investor Connection = Information Automation* * Digital Forms Signing & Tracking  Pre-Investment Information  Suitability  OM & Forms  Representations  Post-Investment Service Relationships (as required by CRM2 Regulations starting January 2016)  Trade Confirmations  Statements  Investor & Rep Mobile Accessible Portals

Distribution Through Dealers & Reps  Direct ties to compliance needs of dealers  Direct presence “on the shelf” on Reps Dashboard & so they – KYP “Know Your Product”  Ease of completion and storage of critical investor forms & files o Digital signature – paperless evolution  Information – Document Sharing

Extending to the Cloud for Success in Operations  Keep Critical Support Materials Cloud Accessible  Laptop or Mobile  Success in closing and funding transactions  Your Forms Digital  Auto Completed & Filed on Client Records  Version Controlled  Tracking – Managing Disbursements  Commissions  Investor Distributions  Success in underwriting loans – streamlining borrower  Loan Processing Flow  Borrower Invoicing & Payment Receipt

PMCmic Cloud 3 Benefits of the 1. Streamline: Save significant overhead - Automate your business on the Cloud 2. Extend Your Reach: - Set-up once & connect forever Investors EMDs Dealing Reps Satisfy Regulators Audits & Compliance 3. Automate: Stop the paper shuffle Digital forms for all of your MIC operations Connection to the Dealer – Rep Market in their office or on the road Increase your presence with investors via Mobile access

Q & A Contact  If you would like to ask questions, please send us a message   Attend our webinar – or sign up to receive a recorded copy if you can’t make it  Request a private demo – and free analysis of taking your MIC to the Cloud Reach out to one of our senior PMC consultants: or PMCmic – 4 Cloud Power & Mobile Access for your MIC with Compliance & Business Intelligence Built In