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1 -ARIS CIO - ARIS CIO IDS Scheer

2 IT SSA Oracle CIO/ 2

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15 1 2 ARIS - ARchitecture of Integrated Information Systems 15

17 ARIS ISO 9000 ISO SCOR SOX ARIS ARIS ARIS ARIS 17

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19 ARIS 19

20 1) ARIS, () - 4 SAP a c 4, a c 20

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Transaction confirmation (Treasury) Trade shares (Cash) Foreign stock exchanges - Proprietary trading Order form (shares) Fixed price business or AQR present Submit inquiry to Trading Approval from

23 Transaction confirmation (Treasury) Trade shares (Cash) Foreign stock exchanges - Proprietary trading Order form (shares) Fixed price business or AQR present Submit inquiry to Trading Approval from Trading present Complete order form - Exchange rate - EB account - Value - Currency Order form completed Send signed confirmation of transaction to Treasury Transaction confirmation received by Treasury Further processing by Treasury GER Domestic International Receipt of external broker confirmation in Trading is not MAH compliant! Broker confirmation present usually arrive by the next day! Received by fax or by GL. Order form (shares) GER Domestic International Sales Trading GER Domestic International Sales Trading Order may be entered under , , Order from the customer present Fill out order form GL-TRADE GER Domestic International e.g. fulfillment instructions Large orders may be passed directly from Sales to Sales/Trading for further processing. Record order information Confirmation from GL-Trade present can be called up on the same day; order fulfillment confirmation by telephone on the same day Telephone Forwarding to MidOffice the same day! Order form Forward order form (shares) Broker confirmation Order form with Desk Support Send confirmation FAX to customer by fax (Preliminary confirmation) Normally not sent before receipt of Confirmation sent broker confirmation to customer by fax Attach broker confirmation Broker confirmation attached Normal Execution present GER Domestic Pass order to Order form person responsible for execution International (shares) Order with Sales Trading person responsible for execution Order form (shares) Customer wishes to enter into currency protection agreement GER Domestic Inform Treasury Telephone Exchange rate and CPD are International noted on the order form confirmation of transaction by Treasury present the next day GER Domestic Transaction Add initials to transaction confirmation confirmation International (Treasury) Witness requirement does not usually reach Panmure for 2-3 days Transaction (rather an internal problem). confirmation initialed Sales Trading Trade Control: Monitor market conditions Shares Transaction confirmation (Treasury) Order form (shares) Order form (shares) Broker confirmation Complete order form Order form completed Telephone GER Domestic Check whether customer wishes to enter into currency protection agreement International GER Domestic International OMNI Record transaction MA Desk Support Broker Düsseldorf confirmation only after - Type of transaction receipt of - Quantity broker confirmation -Kind - Limit Transaction - gross/net recorded - Customer/account - Currency (for foreign currency protected transaction the "Trading Cross Rate" is recorded based on the order form ) AKTIAS AKTIAS AKTIAS From order receipt until arrival in WPS sometimes takes about 48 hours. About 80% are present after one day. Settlement must normally be completed by D+3. File transaction confirmation Transaction confirmation filed Supplement broker confirmation Attach settlement instructions to customer transaction MA Desk Support Düsseldorf Settlement instructions attached to customer transaction Attach transactions to customers Telephone Transactions attached to customers Forward information to interface with BSP-TRADE Data present on interface with BSP-Trade Order form (shares) Liquidate shares (Cash) - Foreign GER Domestic International Sales Trading MA Desk Support Düsseldorf GER Domestic MA Execution Shares MA Desk Support Düsseldorf e.g. for investment companies Allocation of a transaction to multiple funds Sales Trading Sales Trading Sales Trading For further processing in WPS: Customer number Broker Customer name confirmation EB account supplemented (if necessary allocation to fund) (if necessary foreign exchange protection transaction) Pass order to broker For European markets about 50% of confirmations arrive on the same day Confirmation (after 5 p.m.) and about 50% arrive on the following morning. from the broker present Notify customer of fulfillment on the same day; especially necessary for net customers Customer notified of fulfillment MA Desk Support Düsseldorf MA Desk Support Düsseldorf Sales Trading GER Domestic International Agency Dealing/ Execution GER Domestic International alternative (see above) Sales Trading Customer does not wish to enter into currency protection Liquidate shares (Cash) - Foreign Order acceptance: - Sales to note order on an order form (paper-based!) - no serial number assigned (not compliant with MAH) - order form serves as basis for further processing; information on the order form is not always complete (source of errors in subsequent processing) - Sales und Trading do not always supply all necessary information on order forms. - no system support! Work performed entirely by hand. Order administration - no overview of orders on hand and associated status, because system support lacking - Order forms lie loose on traders' desks - no overview of the status of orders, i.e. danger of duplicate processing or non-processing agreement Broker faxes are also routed directly to WPS by fax forwarding Send broker confirmation MA Desk Support to WPS Düsseldorf Broker confirmation sent to WPS Liquidate shares (Cash) - Foreign by bicycle courier There is no clear regulation governing this point. The order can be passed verbally or by order form. MA Execution Shares usually by the following morning; order fulfillment confirmation by telephone on the same day Order fulfillment: Further processing (next day): - MidOffice must perform lengthy manual comparison of information on the order form with information on the broker fax. - Sending fax confirmation to the customer (by hand, therefore a source of errors and delays) - Order form passed to the Execution Desk by hand, Risk of loss of information with manual transfer - Time-consuming manual additions to the order form necessary (e.g. exchange rate); ultimately this is recorded twice: once on the form, once in the system Further processing: - Manual transfer of order form to the MidOffice, risk of transmission errors and delays here also - Further processing in MidOffice not until the following day - Delay while waiting for broker fax as external transaction confirmation (does not arrive until the following day) - Need to refer to external data because internal information system inadequate; operational risk! - Information on the order form frequently differs from that on the broker fax - Information on the order form is often incorrect Further processing (2 redundant steps): - Manual addition to broker fax of data required for further processing in the WPS bank (e.g. customer number, customer name, EB account, ' ) - Transfer of the broker fax to the WPS bank by bicycle courier (!) - Recording of transaction in the OMNI system (not on the same day, therefore not MAH compliant) - Additions to transaction (e.g. settlement instructions) in AKTIAS (duplicated work!) 2) Start End 23

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27 ! IDS Scheer China LTD. () 567 6H A "ARIS", "IDS" "Y" IDS Scheer AG, Saarbrücken 27

28 Copyright IDS Scheer AG, Saarbrücken, 2005 All rights reserved. The contents of this document are subject to copyright. Any changes, modifications, additions or amendments require prior written consent from IDS Scheer AG, Saarbrücken. Reproduction in any form is only permitted on the condition that the copyright notice remains on the actual document. Publication or translation in any form requires prior written consent from IDS Scheer AG, Saarbrücken. ARIS, IDS and Y symbol are registered trademarks of IDS Scheer AG, Saarbrücken. SAP NetWeaver is a trademark of SAP AG, Walldorf. All other trademarks are the property of their respective owners. Alle Rechte vorbehalten. Der Inhalt dieses Dokuments unterliegt dem Urheberrecht. Veränderungen, Kürzungen, Erweiterungen und Ergänzungen bedürfen der vorherigen schriftlichen Einwilligung durch IDS Scheer AG, Saarbrücken. Jede Vervielfältigung ist nur gestattet unter der Bedingung, dass dieser Urheberrechtsvermerk beim Vervielfältigen auf dem Dokument selbst erhalten bleibt. Jede Veröffentlichung oder jede Übersetzung bedarf der vorherigen schriftlichen Einwilligung durch IDS Scheer AG, Saarbrücken. ARIS, IDS und das Symbol Y sind eingetragene Marken der IDS Scheer AG, Saarbrücken. SAP NetWeaver ist eine Marke der SAP AG, Walldorf. Alle anderen Marken sind Eigentum ihrer jeweiligen Inhaber.

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untitled Georg Simon Member of the BPM Board of IDS Scheer AG & ARIS ARIS SAP 140 654,000 120 200 6,000 3000 600,000 146 ERP 2 BMW Financial Services < ARIS > IT ARIS ARIS, DSC (Dealer Service Center) 67 58, DSC