Cascade and Neterium,

a case study for KYC

API integrations

- Administrative & Governance Software

For Corporates, Law Firms, Investment Funds and Auditors

- Based on experience in running SMEs from the financial sector

- ONE environment covering whole value chain

- Compliance with regulation through operational effectiveness

What is Cascade?

- Jetscan is a next-generation screening engine, designed from the start to operate in the API economy

- Scalable to digital platforms allowing regtechs to provide an end-to-end KYC onboarding and monitoring service

What is Neterium´s Jet Scan Scan?

- Manual processes○ Need to automate tasks ○ Excel, word, pdf

- Data stored in various places

- Expensive IT solutions

- Unrelated IT software○ More IT resources needed○ Additional costs

Issues faced by typical SME:

SME in the Financial Sector

Reporting Domiciliation Transfer Agency & Register

Project Management CRM & Client Onboarding

Governance AML/KYC Monitoring Billing/Budgeting

MORE

Stand alone unrelated tools

Data Transfer & AML/KYC

Stand alone unrelated tools

SME in the Financial Sector

CRM & Client Onboarding

Transfer Agency & Register

AML/KYC Monitoring

Bank

Narrow Focus

Stand alone unrelated tools

SME in the Financial Sector

Distributors Due Diligence

SME in the Financial Sector

Distributors Due Diligence

Service ProvidersBrokersAuditors

Clients/Initiators

Banks Central Administration Manco/AIFMs

MORE…

?

?

?

?

?

?

?

?

Narrow Focus

Stand alone unrelated tools

- One environment

○ Permits data entered once to be reused and viewed from different accesses

○ One login○ Eliminates need to learn multiple systems○ Facilitates IT requirements and support○ Cascading workflows with task/time tracking system

Cascade Operational Objectives

- One environment allowing more efficient regulatory monitoring:

- Document Expiration Monitoring - Onsite Controls- Policies and Plans - Name Screening- Mandatory Reports - Mandatory Trainings- Recommendations - Complaints Registry- Financial Intelligence Unit - Refused Relationships- Conflict of Interest

Cascade Compliance Objectives

- Cascade comes with Ryanair prices

- Full package offered, including upgrades○ No need to choose between additional staff and IT expenses○ No more costing individual modules

- AML/KYC screening API - not charged per check○ Monitoring should be continuous○ Overnight checks should not be blocked by costs

Cascade Objectives

CRM & Client Onboarding

Domiciliation Transfer Agency & Register

Project Management

Reporting

Governance AML/KYC Monitoring

Billing/Budgeting

MORE

Data harvesting principle

- One Participant different roles

THANK YOU!