Webinar: Streamlining Deal Process from Inception to Conclusion
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The document focuses on the proprietary interests of Matrix IFS related to deal management systems and operational portals, outlining objectives, regulatory frameworks, milestones, challenges, and the necessity for real-time monitoring and transparency. Key aspects include the need for effective conflict checks, workflow enforcement, and streamlined reporting processes to enhance operational efficiency and reduce risks. Additionally, it discusses the benefits of a centralized hub for managing insider lists, authorizations, and notifications to improve collaboration and visibility among deal members.
Webinar: Streamlining Deal Process from Inception to Conclusion
- 1. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal&ListManagementSystems Operational Portal 1
- 2. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. David Grinholz Head of Capital Markets, Matrix-IFS Has over 10 years of experience in financial enterprise software and services with a focus on Trading, Settlement & reconciliation and Market Surveillance monitoring. David.Grinholz@matrix-ifs.com
- 3. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Agenda Deal Management Objectives Regulatory Framework Deal Management Milestones Challenges & Solutions Operational Portal Benefits Additional Functionalities Dashboard
- 4. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal Management objectives Highlight potential Internal and External risk in a timely manner to either stop a deal or bring it to its conclusion. Control Rooms function is to quarterback the following aspects: Firm and/or Entity due diligence and checks Deal members conflict check and quarantine Making sure that the Chinese wall is air tight no leakage! Respond fast to Deal related information updates
- 5. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal Management Objectives Regulatory Framework Deal Management Milestones Challenges & Solutions Operational Portal Benefits Additional Functionalities Dashboard Agenda
- 6. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Regulatory Framework Key changes: Objectives: from identifying conflicts to prevention Disclosure is an option of last resort Review their conflicts of interest policies Report to managers on identified conflicts at least once a year Main Impact on SYSC Chapter 10 (Senior arrangements, Systems and Controls)
- 7. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal Management Objectives Regulatory Framework Deal Management Milestones Challenges & Solutions Operational Portal Benefits Additional Functionalities Dashboard Agenda
- 8. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal Management Milestones 1. Pre-Deal 2. Business Review & Conflicts Committees 3. Deal Preparation 4. Deal Finalization 5. Deal Conclusion
- 9. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal Management Objectives Regulatory Framework Deal Management Milestones Challenges & Solutions Operational Portal Benefits Additional Functionalities Dashboard Agenda
- 10. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal Management Challenges Workflow definition and enforcement Data needed external system integration Conflict Checks Control Room Monitoring Lists Real-time transparency, tracking and audit Reporting
- 11. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Workflow Definition and Enforcement Need clear cut flow for every: Type of deal Deal member roles & responsibilities Every potential scenario covered Conflict Check result Enforcement: Full proof even for a new member of the team Control information flow and RFI, attachments etc. Dynamic and Automatic according to users interactions
- 12. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Data needed - External & Internal System integration From Pre-Deal stage Tedious Difficulty Tracking the Health of the Deal Bottlenecks and Escalation Delays Updates in employee/ entity/ deal status - Creates havoc
- 13. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Data needed - External & Internal System integration General deal details Employees contact information Relevant companies Companies roles in the deal Employee(s)
- 14. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal Management - Data Examples Company Role Acquirer, Investment, Purchaser of assents Deal Impact High, Medium, Low Deal Reason Merger, Acquisition Deal Status Active, Closed.. Deal Type Financing, M&A Firm Role Advisor, Manager Impact Type Negative, Natural Jurisdiction EU, APAC, US Restriction Scope Employee, Proprietary, solicitation Restriction Type Reg M, Research Manual no predefined combos
- 15. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Conflict Checks Manual and Flexible Involves multiple departments (Legal, HR, etc.) No flexibility in adding /changing /duplicating Updates of the results are not integrated with the workflow Conflicts are often missed Updates on a Deal require re-checking
- 16. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Control Room Monitoring Lists Relevant Control Room lists (Watch/Restricted/Grey/OTW lists) are updated manually after being notified by the deal team Instead of automatic addition in conjunction with CR notification and dedicated approval flow Manual process for over-the-wall crossing and update of the employee status and relevant market surveillance list slows processing and increases opportunity to miss relevant flags Auto update and notification of employee status
- 17. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Real-Time Transparency, Tracking and Audit No visibility as to deal status: Steps in process Bottlenecks Missing information, etc. No tracking and visibility on: RFIs & Response status Conflict Checks effected and results Documents attached and added to the deal process, etc.
- 18. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Real-Time Transparency, Tracking and Audit No consistent and comprehensive audit trail across activities and steps within deal lifecycle: Who did what and when? What COI checks were effected and the results? Employees Personal Account (PAD) impact and monitoring CR List Impact More
- 19. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Reporting Creating reports is tedious, lengthy and resource-heavy, often prone to errors due to the multiple sources involved and the volume of manually monitored and compiled data Templates not integrated NO automatic assistance in completing NO validity and quality checks
- 20. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Agenda Deal Management Objectives Regulatory Framework Deal Management Milestones Challenges & Solutions Operational Portal Benefits Additional Functionalities Dashboard
- 21. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal Management Operational Portal Single point of management Workflow Enforcement Creation and maintenance of project-specific insider lists Wall crossing authorizations, prohibitions and approvers Conflicts Notifications Control Dashboard & Reporting
- 22. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Agenda Deal Management Objectives Regulatory Framework Deal Management Milestones Challenges & Solutions Operational Portal Benefits Additional Functionalities Dashboard
- 23. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Benefits One Central Hub for entire DMS and LMS process Tailor Made to match the Firm's DNA and processes All activities of the DMS and LMS happen within the HUB ecosystem Complete visibility and tracking Enhances velocity of the entire process Transparency across all deal members achieving true collaboration, saving time and increasing efficiency
- 24. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Benefits Reduces errors and Risk. Outlines risks and possible COI in near real time Enhances operational efficiency Flexibility - leverage any monitoring or list management solution Easily add conflict checks, triggering points, notifications and associated workflows
- 25. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Agenda Deal Management Objectives Regulatory Framework Deal Management Milestones Challenges & Solutions Operational Portal Benefits Additional Functionalities Dashboard
- 26. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Additional Functionalities - Notifications System Flexible configurable framework for email generation Email body is dynamic Configurable forms system
- 27. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Additional Functionalities Duplication of work-item Configurable system to replicate existing objects - splits Objects Hierarchy relations Case->work-items->Actions. i.e. the system prevents work-items to be closed while they have open action Enhanced controls i.e. extended auto complete, drop down lists with relations, dependency and validation Event handling Step change validation and post action event, 4 eye review Health and Welfare Dashboard
- 28. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Agenda Deal Management Objectives Regulatory Framework Deal Management Milestones Challenges & Solutions Operational Portal Benefits Additional Functionalities Dashboard
- 29. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Deal Management Dashboard
- 30. All content is the property and proprietary interest of matrix IFS; The removal of any proprietary notices, including attribution information, is strictly prohibited. Thank You Yourfeedbackisgreatlyappreciated emailme:CapitalMarkets@matrix-IFS.com