Fidelity Internal CMS Due Diligence Falguni Das Leo Wiedersheim

Fidelity Internal, Page 2, October 9, 2012 Agenda Application Overview Project Overview Stats & Fun Facts Reference Information Q & A

Fidelity Internal, Page 3, October 9, 2012 Application Overview Intro –Compliance  Enables the FFAS Risk Group to manage their Compliance Program  Oversight of all FFAS clients and adherence to all Fidelity fund policies –Contracts  Central repository for all agreements between FFAS, FI, and the institutions they do business with  Controls and authorizes trading and other contractual services on the DART TA  Central reporting tool for all contract related inquiries

Fidelity Internal, Page 4, October 9, 2012 Application Overview Technical Definition  A business-facing web application  Uses CBSRPC and FDNS services to execute inquiry & maintain requests  Uses FileNet for document storage Architecture Overview –Language  Java –OS  Linux –Framework  Spring MVC  Castor  Ajax –DBMS  Oracle  DB2 –Application Server  Tomcat

Fidelity Internal, Page 5, October 9, 2012 Application Overview Contd. User groups –What Groups  Contracts – Risk Distribution Oversight  Compliance – Risk and Client Services –Business Units  FFAS (Fidelity Financial Advisor Solutions)  NF (National Financial)  FFOS (Fidelity Family Office Services)  Capital Markets  IWS (Institutional Wealth Services)  Funds Network Did you know? –CMS is the only Contracts application in Fidelity that is used as a control against transactional activities –Deals only with Financial Intermediaries and not with individuals –Contract Organization (used in CMS) is different from WorldClass Organization

Fidelity Internal, Page 6, October 9, 2012 Project Overview Overview –Enhance CMS in order to create “Client Oversight” functionality where we can store, track and report on various risk factors for each firm we track within the application New functionality –Client Oversight Screen –Add Oversight Review –Edit Oversight Review –Oversight Review Details –Note & Attachment Screen –Watch List Indicator

Fidelity Internal, Page 7, October 9, 2012 Project Overview Current Work Flow – October 2012

Fidelity Internal, Page 8, October 9, 2012 Project Overview Navigation

Fidelity Internal, Page 9, October 9, 2012 Project Overview Service changes Service NameFrameworkChange Description ContractOrgAdd ContractOrgUpdate ContractOrgInquire CBS 2.0Add WATCH_LIST_IN, Remove COMMENT_CRITICAL_IN ContractOrgEventReviewInquire ContractOrgEventReviewMaintain CBS 2.0New Service to support Events in CMS CmsNotesAttachmentsAdd CmsNotesAttachmentsDelete CmsNotesAttachmentsInquire CBS 2.0Modify for Event notes ReferenceCodeInquireFDNSModify for reference code domain changes

Fidelity Internal, Page 10, October 9, 2012 Project Overview DB changes –Create tables (*Reference Data Tables)  OVERSIGHT_REVIEW_TYPE*  OVERSIGHT_STATUS*  OVERSIGHT_REVIEW_TYPE_STATUS*  OVERSIGHT_EVENT_SOURCE*  OVERSIGHT_TOPIC*  CONTRACT_ORG_EVENT_REVIEW  CONTRACT_ORG_EVENT_REVIEW_TOPC –Modify Tables  CONTRACT_MILESTONE_NOTE, _HIS  Rename to OVERSIGHT_NOTE, _HIS  COMPLIANCE_RISK_RATING  Add column: VALID_FOR_OVERSIGHT_REVIEW_IN  CONTRACT_ORGANIZATION  Add WATCH_LIST_IN  Remove COMMENT_CRITICAL_IN  Modify CONTRACT_MILESTONE_OWNER_TYPE  rename to OVERSIGHT_OWNER_TYPE

Fidelity Internal, Page 11, October 9, 2012 Project Overview Demo –Navigation –Client Oversight –Adding a Review –Review Details –Review Edit –Add Notes & Attachments –Watch List Indicator

Fidelity Internal, Page 12, October 9, 2012 Stats & Fun Facts ,000 30,000 Year of Inception………… Business Services………. FFAS Users……………… FI Users………………….. Contracts/Month………… FFAS Contracts…………. FI Contracts………………

Fidelity Internal, Page 13, October 9, 2012 Reference Information Related Documents & Links –Due Diligence Project SharePoint –FI project SharePoint –Framework Upgrade Project SharePoint –Functional Overview mentation/CMS%20- %20Contract%20Management%20System/CMS%20Functional%20Overview%20v3.doc