Solutions Directory

Solutions Directory

A Message From Pershing's Chief Relationship Officer

Our approach to serving your business is defined by an uncompromising commitment to help turn your vision of success into reality.

As our client, you can expect access to our extensive resources, including a choice of flexible and customizable products and services to suit your firm's specific needs. This Solutions Directory is a comprehensive list featuring the full breadth of Pershing solutions so that you can deliver an outstanding experience to your clients and stand out from the competition. What's more, in today's digitally driven world, a number of solutions in the Directory can support your firm as you move towards paperless processes.

Please reach out to your Relationship Manager to discuss how our solutions can help grow your business. We look forward to serving your firm today, tomorrow and for years to come.

Sincerely,

Michael Row Chief Relationship Officer BNY Mellon | Pershing

Clearing and Custody

> Investor communications ? Books and records delivery ? Change of account information notice ? Daily and quarterly trade confirmations ? Forms and letter notification (with some forms available in multiple languages) ? Statements in multiple base currencies ? Tax documents and year-end report

> Relationship strategy and consulting

> Self-directed brokerage

> U.S. and non-U.S. custody ? Bank and brokerage custody (straight-through processing and integration; outsourcing capabilities)1 ? 65 markets worldwide

Collateral Funding and Trading

> Collateral optimization

> Fully paid lending2

> Securities lending

> Short sale facilitation

Institutional Solutions > ADR conversions > ALERT integration > Automated factor updates > Bloomberg TOMS connectivity > Collateral funding > CTM and OASYS integration > Execution services

> 15A-6 services with Pershing Securities Limited

> Fully paid lending2

> ID confirms

> 144A exchanges

> Order management system integrations

> Outsourced clearance support for equity, fixed income, currency and options products

> Real-time trade and settlement exception management

> Risk management and financial operations

> Syndicate support, including day loan processing

For professional use only. Not intended for use by the general public. Some products and services in this directory may not be applicable to all businesses or avaliable in all locations.

Solutions Directory 3

Investment Solutions

> Alternative investments (fee and no-transaction fee) and online center

> Annuities and insurance, including online dashboard

> Asset consolidation planning and support

> Asset management account with ATM cash access, checks, contactless debit card, peerto-peer payment compatability, mobile wallet compatibility, online bill payment and reward program

> Exchange-traded funds (fee and no-transaction fee) and online center

> FDIC-insured single bank and multi-bank sweep providers

> 529s and online center

> Health Savings Accounts

> Money fund sweep options

> Mutual funds (fee and no-transaction fee) for U.S. and offshore, with researched NTF fund list3

> UCITS (Undertakings for the Collective Investment in Transferable Securities) offshore funds

Managed Account Solutions

> Investment advisory solutions4 ? Advisor-directed programs ? Mutual fund/exchange-traded fund wrap accounts ? Separately managed accounts ? Third-party strategist models ? Unified managed accounts

> Services and support ? Advisory consulting and support5 ? Client processing, portfolio accounting and trading administration ? Outsourced research and investment services5

> Technology6 ? Custom and turnkey managed accounts technology6 ? Third-party Turnkey Asset Manager Providers (TAMPs)

Marketing and Practice Management

> Advisor education programs

> Consulting, coaching and train-thetrainer sessions

> Customizable collateral

> Events (conferences, roundtables, interactive workshops and webcasts)

> Market intelligence

> Sponsorship opportunities

> Thought leadership

For professional use only. Not intended for use by the general public. Some products and services in this directory may not be applicable to all businesses or avaliable in all locations.

4 Solutions Directory

Operations > Account opening and billing > Asset movement > Cash processing though ACH, wire, check and mobile > Client onboarding and eSignature > Corporate actions > Custom operational workflow support > Financial reporting > Forms and agreements > Middle office solutions

? Advisor onboarding support ? Asset consolidation assistance ? Operational outsourcing > Order management

> Trade processing

Regulatory and Compliance > AML and KYC support > Firm and investor education > Form CRS solution > Industry advocacy > Risk analysis reports > Risk and regulatory tools > Rules-based compliance engine and alerts > Sales practice monitoring

capability > Supervisory blotter review and

sign off > Trade surveillance > Transaction suitability review > WORM-compliant document

storage

Prime Services > Capital Introduction services > Custody, clearance and settlement > Margin financing > Reporting > Securities lending > Trade execution

Reporting > Ad hoc > CAT reporting > Fiduciary and trust > Financial and tax > GIPS > Trade and MSRB

For professional use only. Not intended for use by the general public. Some products and services in this directory may not be applicable to all businesses or avaliable in all locations.

Solutions Directory 5

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