FUND ADMINISTRATION SERVICES CONFIDENTIAL
OVERVIEW TABLE OF CONTENTS 03 09 14 OVERVIEW CLIENT PROFILES CORE SERVICE OFFERING • • • Horseshoe at a Glance Fund Structures Our Services at a Glance • • • Our Differentiators Fund Strategies Pre-Launch Advisory and Investor • • Our Team Security Types Supported Services / AML • Middle Office and Fund Accounting Services • Cash Administration and Corporate 20 25 Services • Regulatory Reporting TECHNOLOGY & REPORTING CONTACT INFORMATION • Technology Platform • Contact Us • Integrated Web Reporting Platform • Daily Portfolio Analytics • Business Continuity and Disaster Recovery HORSESHOE FUND SERVICES | 2 Confidential
OVERVIEW
OVERVIEW HORSESHOE AT A GLANCE HORSESHOE FUND SERVICES IS A LEADING AWARD-WINNING FUND ADMINISTRATOR PROVIDING SERVICES TO HEDGE, PRIVATE EQUITY AND INSURANCE LINKED SECURITIES ASSET MANAGERS • The Horseshoe Group was founded in 2005 and is the largest independent insurance management and advisory firm dedicated to reinsurance / insurance linked securities market • Horseshoe Fund Services (formerly IKONIC Fund Services) was founded in 2007 and was acquired by the Horseshoe Group in June 2016 • The Horseshoe Group has 165 clients across its insurance and fund administration divisions with total assets under administration exceeding $25 billion • The Horseshoe Group is owned by the executive management team with, on average, 20 years direct experience in the administration of hedge, private equity and ILS focused structures • The Horseshoe Group has a global presence with 80 employees located between our Bermuda, United States, UK, Cayman Islands and Sri Lanka offices • Horseshoe Fund Services uses best of breed technology and has a SOC1 Type II controls environment 8 0 + $30B 165+ 2005 FOUNDED OVER 10 GROUP ASSETS MEMBERS ON THE FUNDS RECEIVING FULL YEARS AGO UNDER HORSESHOE TEAM FUND ADMINISTRATION ADMINISTRATION SERVICES HORSESHOE FUND SERVICES | 4 Confidential
OVERVIEW OUR DIFFERENTIATORS OUR APPROACH HAS BEEN DESIGNED FOR YOUR MOST IMPORTANT ASSET: YOUR INVESTORS TECHNOLOGY & QUALITY AND CONTROLS REPORTING EXPERIENCED PLATFORM CUSTOMIZATION & TEAM SCALABILITY FLEXIBILITY Our clients are We pride ourselves on Our platform is highly assisted first by our customizing solutions for scalable and will expand senior executives, who Leveraging our We have integrated our clients. A key and adapt as your average 20+ years of team’s institutional proprietary straight component of service and investor experience and are financial services implementing the right through processing needs change. We cater supported by the experience, we have technology with leading platform is reflected in to all types of investors Horseshoe team of built a firm with fund administration our ability to remain and their requirements – highly qualified industry institutional quality software to provide our flexible and provide our from high net worth and professionals. Our controls while clients and their clients the answers that family offices to large hiring standards are maintaining a culture investors with efficient, solve their needs in a institutional investors. some of the highest in of providing clients smart and customized customized fashion We also scale our the industry, resulting with a responsive and reporting services as your fund in a client-first culture solutions focused assets under with low turnover service management grow. HORSESHOE FUND SERVICES | 5 Confidential
OVERVIEW OUR PHILOSOPHY IS SIMPLE We focus on being responsive to your needs and innovative in our approach. We provide value and professional expertise at the highest level. Without exception, we strive to exceed your expectations. HORSESHOE FUND SERVICES | 6 Confidential
OVERVIEW WE SEEK SOLUTIONS AS YOUR BUSINESS PARTNER OUR EXPERIENCED MANAGEMENT TEAM IS COMMITTED TO PROVIDING A CLIENT-FIRST SERVICE BRIAN DESMOND FCA MIKE GENTILE CAIA SCOTT BURNS CPA Head of Fund Services Head of US Operations Head of Private Equity 20+ years experience 15+ years experience 25+ years experience EY & Citi Hedge Fund Citi Hedge Fund KPMG & JP Morgan Services Services and Schroders Bermuda Ltd. KEENAN PRESS CPA RODNEY DAVIES CA SEAN WARD Head of Investor Chief Tech Officer Head of Sales & Services Marketing 15+ years experience 15+ years experience 15+ years experience EY & Citi Hedge Fund BNY Melllon & Opus SS&C Services Fund Services SALLY CANN CA JASON MICHEL MBA GORDON PATERSON Group Manager Group Manager FCCA 12+ years experience 10+ years experience Group Manager PWC, JP Morgan and UMB Fund Services 13+ years experience Schroders Bermuda Ltd. Equinoxe AIS and Citi Hedge Fund Services SONJA FORESTER JANE LEWIS SUSIE TINDALL Head of Compliance Head of Corporate FCCA Services 25+ years experience Group Manager 20+ years experience Citi Hedge Fund 20+ years experience Conyers Dill & Pearman Services PWC, JP Morgan and Schroders Bermuda Ltd HORSESHOE FUND SERVICES | 7 Confidential
CLIENT PROFILES
CLIENT PROFILES FUND STRUCTURES OUR SOPHISTICATED PLATFORM SUPPORTS A WIDE SPECTRUM OF CLIENT PROFILES AND FUND STRUCTURES SUPPORTED STRUCTURES CLIENT PROFILES • Our clients range from $5 million emerging managers UNIT TRUST / PRIVATE to institutional managers with over $1 billion in assets SPECIAL EQUITY / PURPOSE HYBRID under management TRUST STRUCTURES • Our clients investor profiles include high net worth, family office and institutional investors • Our clients invest in plain vanilla and esoteric LIMITED strategies and the trade volumes can be minimal to SEGREGATED PARTNERSHIPS ACCOUNT thousands of trades daily COMPANY WE SUPPORT A VARIETY OF FUND STRUCTURES MINI MASTER / MASTER / FEEDER FEEDER HORSESHOE FUND SERVICES | 9 Confidential
CLIENT PROFILES FUND STRATEGIES OUR ADVANCED TECHNOLOGY PLATFORM ALLOWS US TO SUPPORT A MULTITUDE OF FUND STRATEGIES STRATEGIES SUPPORTED CTA FUND OF INSURANCE CONVERT GLOBAL MANAGED HEDGE LINKED ARBITRAGE MACRO FUTURES FUNDS SECURITIES PRIVATE EQUITY / LONG / MARKET MULTI- PRIVATE FIXED SHORT NEUTRAL STRATEGY EQUITY INCOME EQUITY FUND OF FUNDS HORSESHOE FUND SERVICES | 10 Confidential
CLIENT PROFILES SECURITY TYPES SUPPORTED OUR PLATFORM OFFERS SUPPORT FOR A WIDE VARIETY OF TRADING REQUIREMENTS VANILLA EXOTIC SIMPLE EXCHANGE TRADED INSURANCE LINKED OTC SECURITIES PRIVATE SECURITIES SECURITIES SECURITIES • Equities • FX (Spots, • Collateralized • Fund of Funds Forwards, Options) Reinsurance • Fixed Income • Buyout and Venture • Fixed Income • Industry Loss • Equity Derivatives • Real Estate Warranties • Repos • Futures • Sidecars • Peer-to-Peer • Swaps Lending • Quota Shares COMPLEX HORSESHOE FUND SERVICES | 11 Confidential
CLIENT PROFILES EXTRAORDINARY CLIENT FEEDBACK “Simply put, we could not have launched our fund without Horseshoe. Their knowledge of all the administration areas along with their flexible, problem- solving approach made our jobs so much easier. From top-to-bottom they are highly competent - and fun people to work with. True partners .” HORSESHOE FUND SERVICES | 12 Confidential
CORE SERVICE OFFERING
CORE SERVICE OFFERING OUR SERVICES AT A GLANCE A COMPREHENSIVE SERVICE OFFERING THAT ADDRESSES EACH OPERATIONAL TOUCHPOINT IS ESSENTIAL IN TODAY’S INCREASINGLY COMPLEX AND REGULATED ENVIRONMENT CORPORATE INVESTOR FUND SERVICES ACCOUNTING SERVICES / AML PRE-LAUNCH ADVISORY MIDDLE OFFICE CASH REGULATORY REPORTING SERVICES ADMINISTRATION HORSESHOE FUND SERVICES | 14 Confidential
CORE SERVICE OFFERING PRE-LAUNCH ADVISORY AND INVESTOR SERVICES/AML WE TAKE A COMPLIANCE FIRST APPROACH TO ONBOARDING NEW CLIENTS AND REVIEWING INVESTOR TRADE REQUESTS PRE-LAUNCH ADVISORY SERVICES INVESTOR SERVICES / AML • • Consult on fund structures and accounting best Review investor subscription agreements and practices from an operational perspective supporting documents from an AML / ATF and CRS, US and UK FATCA compliance perspective • Review offering memorandum and fund documents • and liaise with counsel to incorporate suggested Process subscriptions / contributions and changes redemptions / withdrawals in accordance with the fund offering documents • Provide one point of contact that facilitates the • onboarding process to finalize fund documents, open Facilitate the transfer of subscription / contribution monies to the fund’s prime broker account and also bank accounts and collect KYC documentation arrange payment for authorized redemptions / • Make thoughtful introductions to service providers withdrawals in compliance with AML / ATF policies including prime brokers, custodians, lawyers, audit • firms and independent directors Report to investors on a periodic basis regarding trade confirmations and statements • Advise on Valuation and Side Pocketing Policies HORSESHOE FUND SERVICES | 15 Confidential
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