WealthBriefing European Awards 2014

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Sponsors

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Finalists

Private Banking Categories UK-Based Private Bank BEST OVERALL UK PRIVATE BANK Barclays (Wealth & Investment). Berenberg HSBC Private Bank Rothschild Wealth Management Societe Generale Private Banking – Hambros DOMESTIC CLIENTS TEAM Barclays (Wealth & Investment). C Hoare & Co Societe Generale Private Banking – Hambros INTERNATIONAL CLIENTS TEAM RBC Wealth Management Societe Generale Private Banking – Hambros UBS Wealth Management HNW TEAM C Hoare & Co Credit Suisse Societe Generale Private Banking – Hambros UBS Wealth Management UHNW TEAM Citi Private Bank Credit Suisse Rothschild Wealth Management UBS Wealth Management WEALTH PLANNING TEAM Close Brothers Asset Management RBC Wealth Management Societe Generale Private Banking – Hambros UBS Wealth Management CHARITY TEAM Barclays (Wealth & Investment). Investec Wealth & Investment Rothschild Wealth Management UBS Wealth Management EUROPEAN-BASED PRIVATE BANK BEST OVERALL EUROPEAN PRIVATE BANK ABN AMRO Private Banking BNP Paribas Wealth Management Societe Generale Private Banking DOMESTIC CLIENTS TEAM ABN AMRO Private Banking BNP Paribas Wealth Management Societe Generale Private Banking INTERNATIONAL CLIENTS TEAM Banque Havilland BNP Paribas Wealth Management Societe Generale Private Banking UHNW TEAM Banque Havilland BNP Paribas Wealth Management Citi Private Bank Societe Generale Private Banking INVESTMENT MANAGEMENT CATEGORIES SPECIALIST WEALTH MANAGER Berry Asset Management Canaccord Genuity Wealth Management London & Capital PRIVATE INVESTMENT MANAGER Berry Asset Manager James Hambro & Partners Standard Life Wealth INVESTMENT PRODUCT PROVIDER Ossiam SKAGEN Funds Source State Street Global Advisors MULTI-FAMILY OFFICE Oracle Capital Group Sorbus Partners PRIVATE INVESTMENT OFFICE Hassium Asset Management Lord North Street Private Investment Office Sorbus Partners MARKETING CATEGORIES ONLINE CAMPAIGN Barclays (Wealth & Investment). Close Brothers Asset Management RBC Wealth Management BRAND LAUNCH/RELAUNCH Canaccord Genuity Wealth Management Hawksford Standard Life Wealth PRIVATE CLIENT CATEGORIES EFFECTIVE LEGAL TEAM Baker & McKenzie Lawrence Graham PWC Legal Taylor Wessing INSTITUTIONAL TRUST OR FIDUCIARY COMPANY HSBC Private Bank Northern Trust RBC Wealth Management Societe Generale Private Banking – Hambros INDEPENDENT TRUST OR FIDUCIARY COMPANY Bedell Trust Collas Crill Trust Hawksford Ogier Private Wealth WEALTH MANAGEMENT TECHNOLOGY CATEGORIES FRONT OFFICE SOLUTION Advent Software Equipos Finantix Objectway Financial Software Third Financial TRANSACTION PROCESSING SOLUTION Avaloq ERI Banking Software Temenos Third Financial PORTFOLIO MANAGEMENT Advent Software BRT Dion Global ERI Banking Software Teknometry CLIENT COMMUNICATIONS & REPORTING Advent Software BRT Equipos Vermilion Software RISK PROFILING SOLUTION     BITA Risk Distribution Technology FinaMetrica RISK MANAGEMENT BITA Risk BRT Milltrust International Group Third Financial ON-BOARDING Appway Finantix Objectway Financial Software Wealthmonitor Wealth Dynamix OUTSOURCING SOLUTION BRT Multrees Investor Services Objectway Financial Software Pershing, a BNY Mellon Company GLOBAL CUSTODIAN Multrees Investor Services Northern Trust Pershing, a BNY Mellon Company INNOVATIVE CLIENT SOLUTION BNP Paribas Wealth Management Canaccord Genuity Wealth Management Close Brothers Asset Management Distribution Technology Nutmeg INTERNATIONAL FINANCE CENTRE Guernsey Jersey Finance LEADING INDIVIDUAL    Close Brothers Asset Management – Nancy Curtin James Hambro & Partners – Andrew Steel Societe Generate Private Banking – Hambros – Eric Barnett Societe Generale Private Banking – Jean-Francois Mazaud Societe Generale Private Banking – Patrick Follea RISING STAR ABN AMRO Private Banking – Arik Alter Credit Suisse UK – Ben Chance Legis Tax Services – Paul O’Neill Societe Generale Private Banking – Damien Bossard Societe Generale Private Banking – Hambros – Duncan Prince PHILANTHROPY OFFERING ABN AMRO Private Banking BNP Paribas Wealth Management Charities Aid Foundation Philanthropy Services HSBC Private Bank WOMEN IN WEALTH MANAGEMENT (INDIVIDUAL CONTRIBUTION) Close Brothers Asset Management – Penny Lovell Collas Crill – Angela Calnan James Hambro & Partners – Nicola Barber Scorpio Partnership – Catherine Tillotson Societe Generale Private Banking – Irene Manis OUTSTANDING CONTRIBUTION TO WEALTH MANAGEMENT THOUGHT LEADERSHIP Barclays (Wealth & Investment). RBC Wealth Management Scorpio Partnership

Categories

PRIVATE BANK CATEGORIES

UK based banks only

BEST OVERALL UK PRIVATE BANK Criteria for entry: UK-based private bank. DOMESTIC CLIENTS TEAM Criteria for entry: Teams whose clients are domiciled in the jurisdiction in which the bank itself operates. Focus can be either HNW or UHNW. INTERNATIONAL CLIENTS TEAM Criteria for entry: Teams whose clients are NOT domiciled in the jurisdiction in which the bank itself operates. Focus can be either HNW or UHNW. HNW TEAM Criteria for entry: Teams who look after clients with under GBP20 million with the bank. UHNW TEAM Criteria for entry: Teams who look after clients with over GBP20 million with the bank. WEALTH PLANNING TEAM Criteria for entry: Teams who are dedicated to clients' tax, trust and wealth structuring issues. CHARITY TEAM Criteria for entry: Teams working within a wealth management organisation or a stand-alone business offering advice and fulfilment to charities.

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PRIVATE BANK CATEGORIES

European based banks only

BEST OVERALL EUROPEAN PRIVATE BANK Criteria for entry: European-based private bank. DOMESTIC CLIENTS TEAM Criteria for entry: Teams whose clients are domiciled in the jurisdiction in which the bank itself operates. Focus can be either HNW or UHNW. INTERNATIONAL CLIENTS TEAM Criteria for entry: Teams whose clients are NOT domiciled in the jurisdiction in which the bank itself operates. Focus can be either HNW or UHNW. HNW TEAM Criteria for entry: Teams who look after clients with under EUR 20 million with the bank. UHNW TEAM Criteria for entry: Teams who look after clients with over EUR 20 million with the bank. WEALTH PLANNING TEAM Criteria for entry: Teams who are dedicated to clients' tax, trust and wealth structuring issues.

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INVESTMENT MANAGEMENT CATEGORIES

SPECIALIST WEALTH MANAGER Criteria for entry: Private asset managers that are NOT a bank or part of a bank. Can be based anywhere in Europe and can be any level of wealth or client type as a focus. PRIVATE INVESTMENT MANAGER Criteria for entry: Investment managers who specialise in providing portfolio advice to the private client and/or charity communities. INVESTMENT PRODUCT PROVIDER Criteria for entry: Fund managers based in Europe whose funds are available to private clients within Europe. ALTERNATIVE INVESTMENT MANAGER Criteria for entry: Managers based in Europe whose alternative investments are available to private clients within Europe. PLATFORM PROVIDER Criteria for entry: Providers of tools, strategies, model portfolios and access to investment products for the wealth management community. MULTI-FAMILY OFFICE Criteria for entry: Organisations which manage the investment, wealth planning and lifestyle needs of more than one family. PRIVATE INVESTMENT OFFICE Criteria for entry: Organisations which specialise in the investment needs of UHNW individuals and families.

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MARKETING CATEGORIES

ONLINE CAMPAIGN Criteria for entry: Wealth managers or other private client practitioners who have used online channels to promote their services to private clients or to raise their profile either within the industry or to clients. PRINT CAMPAIGN Criteria for entry: Wealth managers or other private client practitioners who have used print media to promote their services to private clients or to raise their profile either within the industry or to clients. BRAND LAUNCH/RELAUNCH Criteria for entry: Most effective and innovative brand launch or relaunch in the private client world, either a whole business unit or a product/service within an existing business.

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PRIVATE CLIENT CATEGORIES

EFFECTIVE LEGAL TEAM Criteria for entry: Law firm team or barrister dedicated to private client issues. EFFECTIVE TAX/ACCOUNTANCY TEAM Criteria for entry: Team in accountancy firm/consultancy specialising in reporting, transacting or wealth structuring for private clients. INSTITUTIONAL TRUST OR FIDUCIARY COMPANY Criteria for entry: Entries only eligible from trust companies that are part of a non-trust parent. INDEPENDENT TRUST OR FIDUCIARY COMPANY Criteria for entry: Entries are only eligible from trust companies independent of larger non-trust businesses.

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WEALTH MANAGEMENT TECHNOLOGY CATEGORIES

FRONT OFFICE SOLUTION Criteria for entry: CRM, client reporting, client risk profiling, portfolio management. TRANSACTION PROCESSING SOLUTION Criteria for entry: Straight through processing, core banking. CHANGE MANAGEMENT PROCESS Criteria for entry: Banks, wealth managers or system integrators who have successfully implemented multi-functional change programmes to significantly improve client experience and performance. PORTFOLIO MANAGEMENT Criteria for entry: Technology solution providers specialising in tools for managing clients' investment portfolios. CLIENT COMMUNICATIONS & REPORTING Criteria for entry: Technology solution providers specialising in tools for wealth managers to communicate with clients. RISK PROFILING SOLUTION Criteria for entry: A technology solution to help wealth managers assess and document the risk appetite of clients. RISK MANAGEMENT Criteria for entry: Technology solution providers specialising in tools for wealth managers to manage risk. CRM SYSTEM Criteria for entry: Client relationship management systems for wealth managers. ONBOARDING Criteria for entry: Technology solutions to help wealth managers bring new clients into their organisation. DATA PROVIDER Criteria for entry: Business providing financial data to private banks and other wealth managers. OUTSOURCING SOLUTION Criteria for entry: Third-party organisations providing business processes or systems to wealth management businesses. GLOBAL CUSTODIAN Criteria for entry: Custodians offering services to private client business. INNOVATIVE CLIENT SOLUTION Criteria for entry: This award seeks to recognise institutions which have developed innovative products and services for their clients as part of a solutionsfocused service model. Entries could focus on a new value-added service designed to help clients with their wider lifestyle goals; a product designed to deliver on the financial objectives of a distinct sub-segment of clients; an educational offering aimed at helping clients become more confident investors; or a cross-divisional referral programme to help business owners with their corporate financial or operational needs. The judges will be looking for a new offering which has been developed to meet a specific client need and which represents a real addition to the institution's value proposition.

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OTHER WEALTH MANAGEMENT CATEGORIES

PRIVATE PLACEMENT LIFE INSURANCE ("PPLI") Criteria for entry: This category is open to life insurance companies that offer open architecture insurance solutions to private banks, asset managers and others for the custody and management of investments supporting the value of those insurance solutions. HIGH DEATH BENEFIT LIFE INSURANCE ("HDBLI") Criteria for entry: This category is open to life insurance companies that offer high death benefit life insurance solutions to either domestic or international individuals to meet their liquidity needs. CREATIVE USE OF INSURANCE SOLUTIONS FOR HNW AND UHNW CLIENTS Criteria for entry: This category is open to private banks, asset managers and others who use insurance solutions, whether private placement life insurance or high death benefit life insurance, for the benefit of their clients. INTERNATIONAL FINANCE CENTRE Criteria for entry: Open to IFCs wherever they are in the world. M&A DEAL Criteria for entry: A takeover or merger involving at least one private client business based in Europe. LEADING INDIVIDUAL Criteria for entry: Age and experience is no bar but something special should mark out this individual working in the private client world. RISING STAR Criteria for entry: A private banker or wealth manager under the age of 35 who is not yet in a senior management position but shows the potential to be a leading individual. PHILANTHROPY OFFERING Criteria for entry: Private client businesses or practitioners who advise individuals or families on their philanthropic activities. WOMEN IN WEALTH MANAGEMENT (INDIVIDUAL CONTRIBUTION) Criteria for entry: Open to women in private banking or wealth management who are an inspiration both to female clients and colleagues. WOMEN IN WEALTH MANAGEMENT (COMPANY CONTRIBUTION) Criteria for entry: For wealth management organisations which demonstrate support for women in their career development. OUSTANDING CONTRIBUTION TO WEALTH MANAGEMENT THOUGHT LEADERSHIP Criteria for entry: Open to individuals or businesses that demonstrate an outstanding contribution to thought leadership in wealth management, as demonstrated by contributions to periodicals and events specialising in wealth management.