Omgeo-DCV Case Study: Successful implementation of services extending beyond the core business of a depository

About Omgeo Omgeo is a subsidiary of: Depository Trust & Clearing Corporation (DTCC) Omgeo's objective: By automating and streamlining post-trade operations, Omgeo enables clients to accelerate the clearing and settlement of trades, and better manage and reduce their counterparty and credit risk. Across borders, asset classes, and trade lifecycles, Omgeo is the global standard for post-trade efficiency across the investment industry.

Omgeo – Automating post-trade lifecycle events

Omgeo's Global Coverage Omgeo meets the needs of 6,500 financial services firms in 52 countries.

Omgeo Central Trade Manager SM Central Trade Manager Investment ManagerBroker/Dealer A single post-trade transaction processing service, providing a common central matching platform for equity, fixed income, and exchange-traded derivative (futures and listed options) transactions, where investment managers and broker/dealers can interact in both domestic and cross-border markets.

Potential for growth and new business lines Other successful partnerships between Omgeo and Depositories in the following countries: Japan Korea USA Canada Joining forces increases efficiency and productivity: Better market insight Post-trade experience A service tailored to local clients Generation of new ideas and initiatives Omgeo-DCV Joint Venture

Trade Flow Overview Omgeo CTM Chilean Broker Settlement Notification ALERT Allocations Block Status updates Contracts Investment Manager Custodian Bank Third Parties Via SWIFT or CSV over SFTP Status updates Block

Increase operational efficiency: Eliminates delays that can lead to increased risk of failed trades and higher costs Centralizes data Reduce costs: Eliminates errors that exist in manual and verbal communications Avoids duplication of work Minimizes back-office costs Automate trade lifecycle events across all markets and asset classes: Electronic trade matching Same-day trade confirmation Drastically lowers risk and cost of failed trades Streamline post-trade operations to achieve Straight-Through-Processing: Real-time communication of allocations, trade confirmations, and affirmations The result? Increased efficiency and decreased operational risk and costs Key Benefits

Chilean Brokers registered with the service

New CFI Service (Copy For Information) Background: In discussions between Omgeo, local brokers in Chile and DCV, improvements to the procedures currently used by local brokers and their global brokers (broker to broker flow) were identified. Challenges: Once trades have been confirmed with the final investors, global brokers complete their internal processing and then send the trade allocations to the local brokers. As this process is not automated, there are delays in the flow of information. Local brokers have to consolidate all the information from their global brokers and determine the local custodian to launch the settlement process, with very tight deadlines for each task. Solution: The (DVC-local Chilean brokers-Omgeo) Working Group has resolved this problem for their local market... and potentially for your market as well.

CFI Workflow (Broker-Broker Flow) Global Broker Investment Manager Global Custodian Omgeo CTM Settlement Notification ALERT Local Broker Local Custodian Order Executed at SSE Match Allocations / Invoices Allocations Trade Confirm Order Copy for Information (Allocations) Confirm

Upcoming Projects Implementation of Omgeo Central Trade Manager for the Buy Side in Chile Use of Omgeo Central Trade Manager for domestic trades between local participants (brokers and investment managers) Analysis of potential straight-through-processing from trade execution to settlement Reference Data services

Omgeo-DCV Case Study: Successful implementation of services extending beyond the core business of a depository