PMCmic CRM2 Regulatory Focus

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Cloud MIC2 PMCmic

• Cloud Integration, Compliance Contacts
  Making Clear Connections Anywhere
• Future - The future of growth and compliance is
  MICs Using the Cloud

PMCmic
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Staying Ahead Keep Up With CRM2 Regulatory Focus

• Compliance Demands are Increasing
• NI 31-103 Change Conclusions BCSC
•  Investors are most vulnerable to high-risk
  investments sold in the private placement market
• - would be better protected if they purchase
  securities from a registered dealer. In
  particular, they would have the benefit of advice
  about whether a purchase is suitable for them
  before they invest.
• Back Office Audit Trail Mandates
• Non-Compliance with the exemptions
• 74 failed to provide purchasers of private
  placement securities with the risk
  disclosurewhen we looked at MIE filers only in
  the sample, non-compliance with this requirement
  increased to approximately 90. The risk
  disclosure obligation is fundamental to investor
  protection when buying from unregistered
  dealers.
• Investor Information Transparency
• Investors are most vulnerable to high-risk
  investments sold in the private placement market
• In particular, they Investors would have the
  benefit of advice about whether a purchase is
  suitable for them before they invest.
• Maximize Distribution through Dealers Reps
• Revoking the exemptions would have a negligible
  impact on capital raising
• Private enterprises and mortgage investment
  entities do not rely significantly on this
  distribution channel for financing.

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CRM2 Compliance DemandsWill Continue to Increase

• Commission Fee Disclosures
• Regulatory Demands
• Transparency provided to InvestorsReporting
  requirements Updates on Net Asset Value
• Systems Automations Conclusions
• Regulatory Demands
• With PMCmic Firms Can Make Compliance
• Affordable
• Automated
• Auditable
• Investor Ready A Competitive Advantage

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Advanced Operations Success

• Market Mandates Meeting Investor Expectations
• Streamline Agent Dealer Connections
• Streamline Operations For Processing

PMC mic Cloud
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Investor Connection Information Automation
Digital Forms Signing Tracking

• Pre-Investment Information
• Suitability
• OM Forms
• Representations
• Post-Investment Service Relationships (as
  required by CRM2 Regulations starting January
  2016)
• Trade Confirmations
• Statements
• Investor Rep Mobile Accessible Portals

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Distribution Through Dealers Reps

• Direct ties to compliance needs of dealers
• Direct presence on the shelf on Reps Dashboard
  eMail so they KYP Know Your Product
• Ease of completion and storage of critical
  investor forms files
• Digital signature paperless evolution
• Information Document Sharing

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Extending to the Cloud for Success in Operations

• Keep Critical Support Materials Cloud Accessible
• Laptop or Mobile
• Success in closing and funding transactions
• Your Forms Digital
• Auto Completed Filed on Client Records
• Version Controlled
• Tracking Managing Disbursements
• Commissions
• Investor Distributions
• Success in underwriting loans streamlining
  borrower
• Loan Processing Flow
• Borrower Invoicing Payment Receipt

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PMCmic Cloud 3 Benefits of the

• Streamline Save significant overhead - Automate
  your business on the Cloud
• Extend Your Reach - Set-up once connect
  forever
• Investors
• EMDs
• Dealing Reps
• Satisfy Regulators Audits Compliance
• Automate Stop the paper shuffle
• Digital forms for all of your MIC operations
• Connection to the Dealer Rep Market in their
  office or on the road
• Increase your presence with investors via Mobile
  access

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Q A Contact

• If you would like to ask questions, please send
  us a message
• support_at_privatemarketcloud.com
• Attend our webinar or sign up to receive a
  recorded copy if you cant make it
• Request a private demo and free analysis of
  taking your MIC to the Cloud
• Reach out to one of our senior PMC consultants
• Robert.Gerrard_at_PrivateMarketCloud.com
  orAndrew.Stewart_at_PrivateMarketCloud.com
• PMCmic 4 Cloud Power Mobile Access for your
  MIC with Compliance Business Intelligence Built
  In