COUNCIL MEETING 2014

NAVEX Global 2014 Solution Updates

WHAT HAVE WE ACCOMPLISHED? WHAT DO WE HAVE PLANNED? WHAT DID WE DISCUSS LAST YEAR? WHAT HAVE WE ACCOMPLISHED? WHAT DO WE HAVE PLANNED? NAVEX Global Advisory Council 2014

Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES Ethics & Compliance Ecosystem Ad-Hoc Reporting Third Party Risk Mgmt. Online Training Policy Management Case Management Expanded Intake Annual Certifications Hotline Integrated Compliance Data ADVISORY SERVICES PROFESSIONAL SERVICES NAVEX Global Gateway Employee Awareness NAVEX Global Advisory Council 2014

Third Party Risk Management

Use of Third Parties is Increasing… But Vetting Them Isn’t. NAVEX Global’s survey of 300+ global compliance officers – conducted in July 2013 – revealed: Of the respondents indicated either that they would increase the use of third parties in the coming 12 months or weren’t sure. Indicated they do not track information on any or all of their third party relationships, exposing themselves to significant ethics and compliance risks. HOWEVER NAVEX Global Advisory Council 2014

Third Party Risk: A Complex Network of Relationships NAVEX Global Advisory Council 2014 NAVEX Global Advisory Council 2014

Third Party Risk: A Complex Network of Relationships Dealers / Resellers NAVEX Global Advisory Council 2014 NAVEX Global Advisory Council 2014

Screen Monitor Assess Mitigate Screen: Understand the inherent risks to your organization prior to performing due diligence. Batch screen for added efficiencies. Monitor Assess Risk Assessment: Continuous best-in-class assessment process that provides a comprehensive view into complete third-party risk. Ongoing Monitoring: Continuous low level and periodic higher level re-screening process that identifies change in third-party risks, ensures information is kept current, and continued compliance to client policies. Mitigate Risk Mitigation and Action Steps: Third-party risk mitigation policies dictate the activities that must be taken by both the third party and you. NAVEX Global Advisory Council 2014

English Japanese Spanish Chinese French Portuguese German Turkish NAVEX Global Advisory Council 2014

Policy Management

Policy Management Lifecycle Create PUBLISH / archive Draft Review Approval Distribute Certification Document owner Publish Policy draft Queue for Later Release Archive NAVEX Global Advisory Council 2014

Policy Management Lifecycle Attest Survey Quiz Create a Case NAVEX Global Advisory Council 2014

Policy Management Lifecycle NAVEX Global Advisory Council 2014

Online Training

Full-Length Courses & Mobile Enabled Burst Learning NAVEX Global Advisory Council 2014

NAVEX Exchange NAVEX Global Advisory Council 2014

Case Management

RELIABLE ANALYTICS and BUSINESS INTELLIGENCE Case Management CONSISTENT PROCESSES and WORKFLOW Consistent data collection » « From multiple sources Hotline Web Reporting Report Forms Client Systems NAVEX Global Advisory Council 2014

NAVEX Global Gateway

Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES Ethics & Compliance Ecosystem Ad-Hoc Reporting Third Party Risk Mgmt. Online Training Policy Management Case Management Expanded Intake Annual Certifications Hotline Integrated Compliance Data ADVISORY SERVICES PROFESSIONAL SERVICES NAVEX Global Gateway Employee Awareness NAVEX Global Advisory Council 2014

Gateway Home Page Dashboard NAVEX Global Advisory Council 2014

Integration Plan

Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES Ethics & Compliance Ecosystem Ad-Hoc Reporting Third Party Risk Mgmt. Online Training Policy Management Case Management Expanded Intake Annual Certifications Hotline Integrated Compliance Data ADVISORY SERVICES PROFESSIONAL SERVICES NAVEX Global Gateway Employee Awareness NAVEX Global Advisory Council 2014

Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES Ethics & Compliance Ecosystem Ad-Hoc Reporting Third Party Risk Mgmt. Online Training Policy Management Case Management Expanded Intake Annual Certifications Hotline Integrated Compliance Data ADVISORY SERVICES PROFESSIONAL SERVICES NAVEX Global Gateway Employee Awareness NAVEX Global Advisory Council 2014

Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES Ethics & Compliance Ecosystem Ad-Hoc Reporting Third Party Risk Mgmt. Online Training Policy Management Case Management Expanded Intake Annual Certifications Hotline Integrated Compliance Data ADVISORY SERVICES PROFESSIONAL SERVICES NAVEX Global Gateway Employee Awareness NAVEX Global Advisory Council 2014

Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES Ethics & Compliance Ecosystem Ad-Hoc Reporting Third Party Risk Mgmt. Online Training Policy Management Case Management Expanded Intake Annual Certifications Hotline Integrated Compliance Data ADVISORY SERVICES PROFESSIONAL SERVICES NAVEX Global Gateway Employee Awareness NAVEX Global Advisory Council 2014

Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES Ethics & Compliance Ecosystem Ad-Hoc Reporting Third Party Risk Mgmt. Online Training Policy Management Case Management Expanded Intake Annual Certifications Hotline Integrated Compliance Data ADVISORY SERVICES PROFESSIONAL SERVICES NAVEX Global Gateway Employee Awareness a NAVEX Global Advisory Council 2014

Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES Ethics & Compliance Ecosystem Ad-Hoc Reporting Third Party Risk Mgmt. Online Training Policy Management Case Management Expanded Intake Annual Certifications Hotline Integrated Compliance Data ADVISORY SERVICES PROFESSIONAL SERVICES NAVEX Global Gateway Employee Awareness NAVEX Global Advisory Council 2014

11/10/2018 Telephony

Telephony Defined Telephony is everything that happens with the Hotline service from the time the caller dials the number up to the time a live Communication Specialist answers the call. NAVEX Global Advisory Council 2014

Employee Awareness NAVEX Global Advisory Council 2014

EMEA

Data Center Contact Center UK Office Sales Services Client care Implementation PSO NAVEX Global Advisory Council 2014

Bob Conlin President & Chief Operating Officer bconlin@navexglobal.com Thank you Bob Conlin President & Chief Operating Officer bconlin@navexglobal.com