Credit Suisse Reference Data Workstation

1. Credit SuisseReference Data Workstation Reference Data Workstation Interface 12/1/2008

2. The Reference Data Workstation project supports Credit Suisse’s strategic efforts to improve overall Reference Data quality and integrity through efficient management and maintenance of reference data Reference Data Workstation Workstream – Scope and Timeline • Focused on developing a high-level conceptual UI design for a common data management tool – the Reference Data Workstation • Aligned with the broader RDG Reference Data Strategy project • For this initial phase of work, the scope includes: • Identification of major pain points in the current data maintenance process • Development of wireframes to support the high-level conceptual design and illustrate key features of the RDW application • Identification of key application and data source interfaces required for the Reference Data Workstation • Defined as a 6 week effort – we are currently in the 5th week (finish on Dec 8) • Completed over a dozen unique screen wire frames addressing current user pain points • Review and refinement of initial wireframes is continuing CS Reference Data Workstation | 9/16/2014

3. Reference Data Workstation – Strategic Goals & Drivers • Eliminate multiple user interfaces • Move away from the concept of “a bond in FISec” vs. “a bond in NTPA” – a bond is a bond is a bond • Recognize and support the short-term need to continue to make changes to multiple physical databases • Isolate the user experience from the constraints imposed by physical data models using metadata • Address key shortcomings of current user interfaces, particularly in NTPA • Expand the use of automatic setups based on existing external and internal data sources • Support system-specific attributes while enabling migration to a standard attribute set • Automatically enforce internal data consistency between physical sources CS Reference Data Workstation | 9/16/2014

4. Key shortcomings of the current NTPA user interface were catalogued from user interviews1 as specific pain points • Lack of workflow tools for prioritization and tracking of requests • Limited search capabilities • Excessive manual setup (re-entry based on Bloomberg terminal data) • No specialized function for bulk updates • Limited audit trail • No ability to compare system data to raw vendor data • No on-line help or integrated data dictionary Other CS User interfaces also lack capabilities to address these issues 1Interviews were conducted via the broader strategy effort by shared team members combined with focused follow-up discussions CS Reference Data Workstation | 9/16/2014

5. RDW Features CS Reference Data Workstation | 9/16/2014

6. Request Prioritization and Workflow Maintenance and setup requests are pulled in from emails/ExMan The request queue is shared and managed at the team level based on entitlements Ability to assign and adjust priorities CS Reference Data Workstation | 9/16/2014

7. Request Prioritization (Multiple Request to Single Person) Ability to assign multiple requests to a single person Define when requests are due for completion Ability to notify multiple team members Ability to provide detailed instructions and comments per request CS Reference Data Workstation | 9/16/2014

8. Request Prioritization (Single Request to Multiple Team Members) Ability to provide detailed instructions to each assigned team member Designate multiple team members to a single request CS Reference Data Workstation | 9/16/2014

9. Manage Request View Manage and filter reports using multiple criteria Ability to print out reports or export to Microsoft Excel CS Reference Data Workstation | 9/16/2014

10. Identifier Search Ability to add additional search criteria such as Security Type, Country of Issue and Currency Ability to search by CUSIP, ISIN, SEDOL, RIC or any other identifier Ability to select different filters based on criteria selected Ability to search multiple underlying data stores Ability to apply different search options (e.g. underliers, active, etc.) CS Reference Data Workstation | 9/16/2014

11. Date Range Search Available fields depend on Security Type Ability to perform ranged searches on any date field CS Reference Data Workstation | 9/16/2014

12. Custom Search Ability to select from list of saved custom searches Define custom searches using multiple fields Ability to save custom searches CS Reference Data Workstation | 9/16/2014

13. Search Results Ability to save and recall previous search results Ability to filter results by specific attribute values Traceability to underlying system where records are located CS Reference Data Workstation | 9/16/2014

14. Main Instrument View Continue supporting system specific attributes until full migration is complete Ability to compare with raw data sources such as Bloomberg Show a subset of attributes based on configurable filters A detailed view of all security attributes in Read-Only or Edit modes Context sensitive help displays business definitions and other useful information CS Reference Data Workstation | 9/16/2014

15. Source Comparison Compare two or more sources Automatic highlighting of differences and missing data Side by side comparison of raw vendor data vs. internal databases CS Reference Data Workstation | 9/16/2014

16. Bulk Update Ability to update multiple records simultaneously Changes to fields will automatically be applied to all selected records CS Reference Data Workstation | 9/16/2014

17. Sequential Update System automatically queues records for update Ability to see all records being impacted Ability to select multiple records and update them sequentially CS Reference Data Workstation | 9/16/2014

18. Audit Trail Each version represents a different state of the record Versions created as a result of system or human activities such as vendor load or manual correction Ability to view an audit trail for any given record CS Reference Data Workstation | 9/16/2014

19. New Security Setup Also available from main navigation Ability to setup different types of securities based on templates CS Reference Data Workstation | 9/16/2014

20. New Security Setup (Auto-populate) Ability to auto-populate fields based on data from internal or external sources (e.g. Bloomberg proxy) Ability to explicitly specify desired target system Look up by any supported identifier CS Reference Data Workstation | 9/16/2014

21. New Security Setup (Review and Save)_ Review and save CS Reference Data Workstation | 9/16/2014

22. Supporting artifacts & capabilities required • Mapping of current system-specific data models to a single system agnostic representation • A data dictionary mapping field names to business definitions • An abstraction layer for seamlessly pulling in data from multiple physical stores • Ability to update multiple data stores based on internal integrity rules • Rules and mappings for auto-complete sources • Storage and query of raw vendor data • Consistent versioning/effective dating scheme to support the audit trail • Additional search capabilities for existing systems exposed as services • Additional metadata around attribute relationships and instrument classifications CS Reference Data Workstation | 9/16/2014

23. Next steps • Collect feedback • Revise screens • Review and repeat CS Reference Data Workstation | 9/16/2014