0. Global Markets Prime Brokerage
Alternative investment managers turn to CIBC Capital Markets for premier prime brokerage that brings together trade execution, reporting, research and capital introduction with a view to enhancing efficiencies and profitability.
Global Markets
February 2016
Prime Brokerage
CONFIDENTIAL

1. Prime Brokerage
We work with experienced clients looking to efficiently manage and grow their business.
A dedicated client service representative provides personalized coverage and connects you to the resources you need within CIBC
An integrated clearing and custody framework and top-notch technology support a multitude of complex products, instruments and currencies along with extensive reporting
Assistance with trade execution is provided by our Electronic Trading Group:
Our smart order router CIBC lets you efficiently access all markets trading Canadian equities
We offer a full suite of algorithms for Canadian and U.S. execution
We also help start-up managers hit the ground running with referrals and counsel from our network of relationships
Our offering includes:
Trade Execution
Margin Financing
Securities Lending
Capital Introduction
Correspondent Brokerage
Best Canadian Prime Broker1
Prime Brokerage – One to Watch (Value)2
Canadian Hedge Fund Awards.
Americas Global Custodian Awards.
CONFIDENTIAL

2. Technology
Rely on timely and accurate information flow and in-depth reporting with an integrated platform.
Client
Prime Direct
VistaOne©
Advent
Geneva®
Settlement
(DTCC & CDS)
Risk Analytics
(MSCI Barra)
Margin Engine
(Softek)
Stock Lending
(Sunguard Global One)
Corporate Actions
(Bloomberg)
Pricing
(Thomson Reuters)
Advent GENEVA® is our portfolio management and accounting system
Our VistaOne data warehouse solution supports on-line inquiries via PrimeDirect web-reporting
The PrimeDirect web portal enables users to build custom reports, receive trades throughout the day and view updated positions in real-time
Prime Brokerage – One to Watch (Reporting)1
Americas Global Custodian Awards.
Advent, the Advent logo, Advent Corporate Actions, Advent Custodial Data, Advent Office, Advent Partner, Advent Portfolio Exchange, Advent Revenue Center, Advent Rules Manager, Advent (logo) APX, Advent Software, Advent Syncova, Advent OnDemand, Axys, Geneva, Moxy, Portfolio Exchange, Qube, Rex, Tamale, Tamale RMS, the Pepper logo, Tamale RMS + Pepper logo, and Syncova are registered trademarks of Advent Software, Inc.
Copyright © 2015 VistaOne Solutions
CONFIDENTIAL

3. Margin Financing
Achieve your investment objectives in accordance with regulatory and risk-based margin requirements.
Margin financing solutions and associated services address the regulatory and risk-based leverage needs of today’s most sophisticated institutional investors
Our team brings the specialized knowledge and experience needed to work across a variety of asset classes and investment strategies
We seamlessly integrate with your workflow, offering:
Advanced reporting and risk management technology
Customized solutions to help you manage your lending activities
Prime Brokerage – One to Watch (Financing & Margining)1
Americas Global Custodian Awards.
CONFIDENTIAL

4. Securities Lending
Tap into our deep borrowing relationships to access the securities you need to meet your flow and liquidity requirements.
Our industry expertise, global network and depth of book help you get the most out of your securities lending objectives
You can access a deep and reliable pool of securities to implement your short strategies, while maximizing the stability of your ongoing short positions
Re-invest cash with one of the strongest global counterparties1 and finance long securities positions on a fully collaterized basis
Collectively our team has over 100 years of experience on loan desks.
A leading counterparty globally1
Proactively source stock that may be of interest to our clients
Identify trends and opportunities in the marketplace
Provide ongoing flow and liquidity commentary
1 CIBC is the strongest publicly traded bank in Canada — and the only North American bank in the ranking for the last five years (Bloomberg Markets 2015).
CONFIDENTIAL

5. Capital Introduction
Work with us to help develop and execute plans to connect to new investors.
Our capital introduction program focuses on business strategy and investor introductions
We bridge the dialogue with a wide range of senior-level institutional and individual investors in local and global markets
By thoroughly understanding their search and investment needs, we can match their selection criteria with the managers on our platform
Our deep knowledge of fund-level risk and return profiles, and understanding of counterparty investment criteria, can help expand your reach
Customized plans may include:
Strategic consulting services
Fund manager workshops and training
Emerging manager start-up assistance
Peer group symposia
Topical operational and regulatory sessions
Events include:
One-on-one meetings
Investor roundtables
Manager profile catalogue
Hedge fund marketing activities
CONFIDENTIAL

6. Correspondent Brokerage
Outsource your back office and access the broad capabilities and scale of a trusted counterparty.
Our Correspondent Brokerage team helps improve margins for IIROC member brokerage firms
We currently execute and/or clear 25-30% of the Canadian equity market providing our clients the capacity, flexibility and pricing advantage to compete and win
With our excellent client service model and desire for strong and long-lasting relationships, we are the partner of choice for firms working in the more sophisticated areas of capital markets
As a carrying broker, we provide:
Clearing and settlement of trades
Custody of firm and client funds and securities
Maintenance of books and records
Financing of trade settlements as well as firm and client positions
Access to our full set of capital markets capabilities
CONFIDENTIAL