MetricStream Governance, Risk, Compliance Quality Management Solutions

2. AGENDA Need for enterprise wide Risk Management Framework for ERM Case Study About MetricStream

3. Increasing Risk of large losses

4. Increasing Risk of non-compliance

5. Drivers of change and development Global Regulatory developments Rating agency views Capital Market Shocks Convergence of financial products, markets, globalization Board attention due to public�s demands for certain assurances

6. Integrated GRC - Stakeholders

7. AGENDA Need for enterprise wide Risk Management Framework for ERM Case Study About MetricStream

8. Enterprise Risk Model

9. Business Risk Matrix

10. Risk Pyramid

11. S&P Risk Management Framework

12. Enterprise Risk Management

13. Key Risk Indicator

14. Governance, Risk and Compliance Cycle

15. Loss Management Framework

16. Business Continuity and Emergency Notification

17. MetricStream Risk Scenarios

18. Enterprise Risk Management

19. SCREENSHOTS

26. Loss Tracking Dashboard

27. Loss Management

28. Loss Trend Dashboard

29. Issue Management This pertains to FERCThis pertains to FERC

32. Risk Management Benefits

33. AGENDA Need for enterprise wide Risk Management Framework for ERM Case Study About MetricStream

34. Case Study I � Stock Exchange Key Challenges in Managing Risk and Compliance No easy way to identify and quantify risks Challenge in Linking Risks to Compliance requirements, processes and mitigating controls Difficult to implement strict access control or deploy a streamlined process Solution Offering from MetricStream Ability to span across the enterprise and have standardized framework and platform that solved NASDAQ�s current business problems as well as had the capability to be easily extended to address newer emerging requirements: SOX, NASD, Contract, Trading,Business Risk Value offered by MetricStream�s ComplianceOnline.com to enable effective implementation and adoption of risk and compliance programs

35. Case Study II � Large Utility

36. Case Study II � Large Utility Business Issues - Used a �home grown� system to facilitate Enterprise Risk Management (ERM) and multiregulatory Processes. Disparate and fragmented view to risk and compliance Limited integration with other applications and portals Significant increase over the last several years in the number of compliance requirements as well as additional scrutiny by various regulatory bodies. More and more departments in the company put compliance programs in place, they are looking for technology solutions to help facilitate the process.

37. AGENDA Need for enterprise wide Risk Management Framework for ERM Case Study About MetricStream

38. MetricStream Corporate Overview Remove customers & put into other slide. Order: Vision: Good Compliance is Good Business. GRC is not tax � drive shareholder value, Management, Investors, Partners, Diffs, Growth. Next slide - customers Remove customers & put into other slide. Order: Vision: Good Compliance is Good Business. GRC is not tax � drive shareholder value, Management, Investors, Partners, Diffs, Growth. Next slide - customers

39. Industry Leadership & Recognition

40. Compliance Online Portal Content from the most reliable and current sources, including white papers and templates on industry best practices Training from the noted industry experts One of the largest repository of products in quality and compliance Tailored alerts for timely and relevant compliance related news Collaboration with industry peers via community forums focused on specific regulations

41. Leadership Through Vision Early to see Integrated GRC and Quality Management Only Vendor to create content through ComplianceOnline Through Products Patented Technologies Platform - Integration and scalability ComplianceOnline Portal Through People Board and Investors Domain Experts � Leading experts from Industry Through Association Leading Customers of the industry Associations and memberships � OCEG, NASDAQ, SVLG, BAO, etc

42. Leaders work with Leaders

44. THANK YOU