FIIS Business Applications Overview

1. FIIS Business Applications Overview

2. Welcome to FIIS Business Applications Overview The goal of this training course is to provide an understanding of how each FIIS developed application is used by the business and how these applications relate to each other. Upon completion of this course you will be able to: • List the FIIS Business Units • Define the FIIS Developed Applications • Understand how the FIIS Developed Applications are used • Identify the program/language that is used to create the Applications • Describe how the FIIS Applications relate to each other • List the Databases used by FIIS • Notes: • Click on each of above to display topic (ex. 1st bullet will reveal pg 3 of this ppt) • Check box when completed

3. FIIS Business Units • Distribution • The Advisor Distribution Group (ADG) provides sales and relationship management support to Advisor Broker/Dealer Clients and prospects. Fidelity Advisor products and programs are distributed through FIIS’ Sales Force to Investment Professionals. (client example, page 5 display) • The Institutional Distribution group (IDG) is responsible for the development and management of relationships with senior management, home office contacts, and various decision makers at intermediary firms that sell FIIS products and programs to their clients. (client example, page 5 display) For more details on the Distribution business units see FIIS Distribution Overview - eLearning • Client Services • supports the business role of FIIS by providing transaction processing and record-keeping for the transfer agent (define), , Fidelity Investments Institutional Operations Company, Inc. (FIIOC) (define), , as well as intermediary support and relationship management for FIIS clients (define). FIIS Client Services is made of the flowing business units: Advisor and Institutional Call Services, Operation Services and Transaction Processing. http://fnw.fmr.com/fiisnet/departments/client_services/index.html • Marketing • focuses on implementing the marketing initiatives necessary to acquire new advisors, develop strong and lasting relationships with our current base, and improve our retention efforts for high value advisors. http://fnw.fmr.com/fiisnet/departments/marketing/index.html • Notes: • When you click on business unit (bu) the Business Applications appears (pg 5) • There will be on page per bu • Check box when completed bu review

4. Distribution/Sales client examples from pg. 3: FIIS Sales is committed to acquiring, developing and retaining high quality clients. • Advisor Distribution Group (ADG) • Wirehouse and Regional • Financial Institutions and Planners • Bank Broker/Dealer • Independent • Insurance Agency • Institutional Distribution Group (IDG) • Insurance Wholesale • Bank Business Unit • Cash Business Unit • Corporate Direct • Institutional Cash Services

5. FIIS Developed Applications for Distribution • World Class – World Class is a Customer Information Management tool used by the Inside Sales forces at FIIS and FICL. • ICM+ (Integrated Contact Manager) is a contact management/customer relationship management system for unthethered users such as FIIS External Wholesalers. • PCM+ (Pocket Contact Manager) – 1700 Samsung Pocket PC (PDA) • Advisor.fidelity.com - is a secure Fidelity Web site that provides detailed account, product, and pricing information as well as account administration and trading capabilities for your Fidelity Advisor business. web site (previously known as AdvisorXpress). • Notes: • Click to view image (main menu, home page, pg 5-8) • Click to view how it is used (ex. page 9 for world class – this will be consistent for all applications) • Checkbox when review is complete • The above format will be consistent for all applications (pg 5-9)

6. FIIS Developed Applications for Client Services • DART (Direct Access Reporting and Trading) FIIS' mainframe system used to maintain shareholder mutual fund account information and to process transactions on customer accounts. • Millennium Client-Server based Trading application. • eDART a web-based application used for processing clerical transactions and establishing new accounts. • IRIS (Integrated Relationship Information System)A software application within the FSA database environment which enables the end user to improve the quality of data in FSA by providing reconciliation and maintenance routines for specific client level information. • XTRAC (Cross Tracking, Routing, and Control) a workflow management system. • OLR (OnLine Reference) The primary source of reference for Client Services associates and contains comprehensive information on FIIS' policies, procedures, products, and systems. OLR is a web-based utility.

7. FIIS Developed Applications for Client Services • FIISView - FIIS View will enable service representatives to efficiently provide service to a customer by providing pertinent information for all of the customer's relationships with FIIS. (future) Organizations within FIIS from Client Services to Sales use a multitude of internally developed applications to perform their job functions. To streamline the process of accessing and updating information, FIIS is developing a GUI application called FIISView that will allow access to multiple FIIS applications through a single portal or desktop. • FIISView will empower FIIS associates to: • View a customer's entire book of business • Understand and assess a client's needs • Respond to their needs in a uniform and efficient manner Thereby creating a client experience which will distinguish FIIS from its competitors

8. FIIS Developed Applications for Marketing • OMO (Oracle Marketing Online) –Manages marketing campaigns, marketing plans. Campaign/event management. Tracks who was invited, and their individual the status (who responded, who accepted, who went) • MAXX– used by the Marketing Communications group. It tracks cost estimates and project milestones for marketing projects executed. • Business Objects –Third-party reporting tool used to create reports.

9. How is it used? • World Class – a Customer Information Management tool used by the Inside Sales forces at FIIS and FICL. It tracks interactions Fidelity has with Investment Professionals. It allows the wholesalers to schedule appointments, order literature, track Retirement plans. It also allows Client Services to add and update IP information as well as order literature for individual IPs. (Distribution, Client Services via sales literature line). • View Investment Professional information, including sales and profile information. • View branch and firm information. • Record interactions (notes from phone conversations). • Schedule appointments (follow-up calls). • View interactions between IPs in a specific territory. • View compliance and IP level alerts. • Request and send literature, sales proposals, and hypotheticals. • Add, edit, or merge IP information in the database. • Create and execute custom territory analyses. What is it? Business function=customer development / language=VB.net / Operating system=Windows / DBMS = oracle / Database name=FSA RHD Note: once review how it is used have option to click what is it to display

10. How is it used? • ICM+ (Integrated Contact Manager) • Tool to capture interactions as well as to assist the wholesaler in making effective business decisions resulting in a more productive sales force • It presents information from local copy of FSA. It is also used to support analysis of client activity within assigned sales territories. • Launches thru World Class, via Territory Analysis tab • Synchrologic software is used to create and download database updates to the outside wholesaler • Outside Sales Rep. primarily uses for DATA analysis of territory prior to going into field • Who do they need to meet with • What do they need to discuss • When field meeting complete Sales Rep will create call report, field sales communication and capture • Who met with • Time of meeting • Type of meeting (One on One – most common) • What discussed • Data saved in ICM database (online or offline) • Once per week will locate internet connection to synchronize data with World Class • Outside Sales Rep. information from Database will go to World Class • World Class will synchronize data to Outside Sales Reps ICM+ database • ICM information sent to personal outlook of sales representative and to database waiting to synchronize with World Class What is it? See World Class What is it?

11. How is it used? PCM+ (Pocket Contact Manager) • synchrologic software downloads information to the FSA database (define) • ICM DATA sent to PCM • PCM must doc to laptop to receive information • Synchronize information via IP segments • A/B/C/100,000+ in production ect. • PCM+ being developed for Fall 2004 • Primary difference: PCM+ will receive information directly from database, no longer will it flow thru ICM using Sync.nology Intelligence(?).

12. How is it used? • Advisor.Fidelity.com • provides Investment Professionals and Shareholders with 24-hour access to information that will assist with prospecting and sales, trading and service, as well as professional development • Use it specifically with your Fidelity Advisor book of business to • Access account information • View statements, confirmations, prospectuses, and tax-related information (tax filing forms are also available for download) • New Account set ups • Trade Fidelity Advisor fund shares and Institutional MoneyMarket fund shares • Manage account administration • And more • Used for landing pages for marketing What is it? Business Function=Service accounts/Relationships / System Function=Transaction processing / Database name=FTS, FSA prime / Operating System=Solaris / DBMS=Sybase DBMS2=Oracle / Language = Java

13. How is it used? • DART (Direct Access Reporting and Trading) – • DART (Direct Access Reporting and Trading) is the Institutional Mutual Fund Transfer Agent record keeping system • Mainframe that contains clients, trade, account history & today’s pending transactions • Contains Investment Professionals, Institutional Clients and Individual Shareholder Information • Information will include Account related? • Primarily Used by Client Services to initiate monetary and non-monetary transactions What is it? Business Function Performance=Overall Transfer Agency Functions / System Function=Transaction Processing / Database Name=VSAM,DB2 / DBMS=VSAM / Language COBOL

14. How is it used? • Millennium • Workstation for tracking client service interaction, monetary and clerical transaction processing. Call-Logs are opened to capture information on client call, like trade details, type of inquiry, etc. • Used by Advisor and Institutional Call Services • Workstation components include: • Navigator • Account Detail Viewer • Trader • Screen Pop • Dividend Calculator, Dilution Calculator, and As of Balance Calculator What is it? Business Function=Account inquiry, process transactions / Database name=CAUP,MFUP / Operating System=windows / DBMS=SQL Server / Language=VB, C++

15. How is it used? • eDART – • Web based platform used to establish new FIIS accounts • Shares code with DART when account is confirmed/accepted/established • Used by Client Services, Transaction Processing What is it? Business Function=Process Transactions / System Function=Transaction Processing / Database Name = DB2, CBS, XTRAC / Operating System=Solaris / DBMS=DB2 / Language=Java

16. How is it used? • IRIS • Contains Investment Professional information • Bridge sales information to world class & Data from Dart to World Class. • Updated by Client Services, Transaction Processing What is it? System Function Performed= Desktop Application / Database name=FSA / Operating System=Window / DBMS=Oracle / Language=C++

17. How is it used • XTRAC • The FISC image and workflow distribution system. XTRAC facilitates the stroage routing and processing of transactions. It also provides a correspondence function that has been integrated with DART. • Workflow tool for Client Services, Transaction Processing • holds scanned images of paperwork sent to FIIS • The InterApp function allows for the integration between Millennium and DART What is it? Business Function=xxxxxxx / System Function=xxxxxxxx / Database Name=xxxxxx / Operating System=xxxxx / DBMS=xxxxx / Language=xxxxxx

18. How is it used? • OLR (OnLine Reference) • (OLR) is the primary source of reference for Client Services associates and contains comprehensive information on FIIS' policies, procedures, products, and systems. OLR is a web-based utility. • Used by Client Services • FIIS Forms can be emailed or faxed directly to Investment Professionals from OLR What is it? Business Function=Provide Communication and Education / System Function=Content Management / Database Name=File Server / Operating System=Window / DBMS=SQL Server / Language=VB Script /

19. How is it used? • Oracle Marketing Online/OMO • Marketing campaign management • campaign management tracks mailing via World Class; • need for calls, emails • A “Marketing Activities” tab is available in World Class/ICM+ that displays recently distributed marketing communications What is it? Business Function=Customer Development / Database name= OMO, FSA, RHD / Operating System=Solaris / DBMS=Oracle / Language=Java, JSP

20. How is it used? • MAXX • It tracks cost estimates and project milestones for marketing projects executed by that group. What is it? Business Function=Business Unit General & Administrative / System Function=Workflow / Database Name=MAXX / Operating System=Windows / DBMS=Sybase / Language=C++

21. How is it used? Business Objects • Business Objects Universes have been defined for all frequently used Inform Databases. These can be accessed through the Intellicentral web application. (define) • Users can use existing reports, create their own ad-hoc reports, or consult with Testing Tools for more complex solutions. • Inform databases available include: Defect Tracking, M&E, Move Sheet, and Cycle Calendar. In addition, a hybrid Daily Cycle Results Report has been produced by reading a combination of three universes. What is it? Business Function Performed=Provide Required Reporting / System Function Performed=Reporting / Database Name=RHD, DB2, FSA / Operating System=Windows / DBMS=Oracle / Language=excel was blank

22. FIIS Database Information • FSA (FIIS Subject Area) is the normalized, online transaction processing database that supports sales and marketing functions for FIIS. It receives batch feeds from TA systems providing trade, dividend, and pricing information. FSA is considered the source of record for client and marketing information. Retirement plans, schedules, partners, and associated recordkeeper data are also stored in FSA. FSA is an Oracle database (define). • FTA (FIIS Transfer Agency) • FTA is a DB2 relational database that resides on the OS/390 mainframe and houses all DART business data. This data represents the record keeping system for the FIIS TA business. The FTA tables are an asynchronous,  replicated copy of DART VSAM data. This database will be available in late 2004.  It will eventually replace the DLDM database. • FTS (FIIS Transmission Server) • FTS is a Sybase database that is used to administer and monitor transmissions through the FTS server application, monitor FTS events and system parameters, and maintain and enter transactions for various allocation type customers. • FTSis a multi-faceted application and database used in support of transmissions, on-line inquiry and maintenance and various different batch processes. In this context FTS is being referred to as a database. The Sybase database FTS uses contains some 230 tables all of which will eventually be moved, decommissioned or replaced in either FTA or FSA over time. • The major topic areas of this database are remote customer, transmissions, relationships, allocations and system support. FTS depends on FSA for VRU registration. However, the next time a connection is attempted when FSA is available, the connection will succeed.

23. FIIS Database Information, continued • RHD (Reporting and History Database) is the denormalized reporting and history database that warehouses FIIS data. It is intended to eventually provide an integrated view of all FIIS enterprise data. RHD is an Oracle 9i database that has been designed to support large data loads and provide optimal query performance. The data in RHD includes: • Operational data copied nightly from FSA • Operational data copied hourly from FSA • Operational data loaded monthly from DART (for Profitability Analysis) • De-normalized, merged data (table prefixes of WF_, MF_, RDM_, and ANLYS_). • Summarized, rolled-up financial data. • Summarized, rolled-up Web Management Reporting data (in the WMRDBO schema) • Sales Reporting Data Mart (in the DMSRDBO schema) • Real-time Marketing Activity data from OMO (in the WFRDBO schema)

24. How FIIS Applications Relate • Maybe two diagrams How apps Relate and then a diagram of customer interactions and apps used. • Link to diagram! B. McGurn

25. Course Conclusion • Thank You for completing/Summary • Additional Resources • FIISnet • OLR • FidelityCentral.com • Advisor.Fidelity.com • Additional Courses can be launched via FIIS Learning Institue. • Insert weblink

26. Glossary of Terms • Transfer Agent - a person or corporation responsible for recording the names and holdings of registered security owners, seeing that certificates are signed by the appropriate corporate officers, affixing the corporate seal, and delivering securities to the new owners. • Fidelity Investments Institutional Operations Company, Inc. (FIIOC)- Founded in 1979, Fidelity Investments Institutional Services Company, Inc., (FIIS) distributes Fidelity products, programs and services through a variety of financial institutions, including banks, insurance companies, broker/dealers, financial planners and pension fund administrators. View the FIIS fact sheet. • Client Service Business Units: • Advisor and Institutional Call Services • Operations Services • Transaction Processing • Intellicentral - Using Business Objects' WebIntelligence InfoView technology, IntelliCentral provides you with the ability to access, create, and distribute reports.