1. Ascent
Overview
Global leader in Enterprise
Solutions for Financial
Technology, Risk Management &
Business Continuity Solutions
Business
Continuity & Risk
Management
Boston
Dubai
Financial
Technology
Solutions
Pune
Sydney
Services
Headquarters
Sales & Consulting
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2. Ascent Offerings
Software
Consulting
Services
Services
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
Enterprise Risk Management

Enterprise Reconciliation System

Anti Money Laundering
Executive Reporting System

IT Audit & Security

Managed Services Outsourcing

Financial Technology
Solutions
Business Continuity Management System

Business Continuity & Risk
Management

Consulting, Staffing & Training
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3. Business Continuity Management
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4. Ascent BCM Competencies
Services
Products
BC and CM integrated software application
BCM Workshop Facilitation & Training
Optional offshore IT Disaster Recovery for
BCM Consulting Services
hosted applications
BCM Outsourcing Services
Risk Management Application
Integrated Risk Management and Business
Information Security & Audits
Continuity Management
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5. BCM Knowledge
Management
Services Without Relational Tools
Consulting
 BCM Program
BIA
deployment
 BCM Policy
Facilitator /
BC Coordinator
BCS
BC Workshop Facilitation
 Gap Analysis
 ISO 22301
Business line reps and
Subject Matter
Experts
BCP
 Crisis Management
 IT DR Set up
Data
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6. Ascent BCM Software
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7. BCM Knowledge
Management
Services With Relational Tools
BCM Software
 BIA Reports for all Process in each Business Area
BIA
 Dependency Reports based on ALL BIA activities
 Business Requirements for all Resources, e.g.:
Facilitator /
BC Coordinator

Software
Tool
Testing
Docs
Alternate Operating Locations
Internal Supply Chains

BC Workshop Facilitation


BCS
IT Resources
External Supply Chains
 Business Continuity Plans for all critical Areas
 Test Plans for all critical Business Areas
 Test Reports for all critical Business Areas
 Crisis Management Plan for Senior Executive
 Facilitation of initial Crisis Management exercise
Insights
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8. Our Approach & Methodology
Step 1 – Data Collection, Preparation and Business Continuity Workshop – Requires Access to
Resource Owners, Product Managers and Subject Matter Experts
ISO 22301
(Global BCM
Standard)
Business
Disruption
Risk
Universe
Proven BCM
Practices
Scope
Organisation Key Offerings
Mitigation
Treatment
List
Business
Criticality
Metrics
Workshop + Follow-Up (2 Days)
1. Analyse business resilience of Key Offerings
2. Identify Gaps in Resource Recovery Capability
3. Identify Remediation Options
Step 2 – Reporting and Remediation Road Map – Requires Access to Product Managers, Subject
Matter Experts and Resource Owners
Workshop Results
Current
Resource
Recovery
Capability
Proposed Business
Continuity
Requirements
Remediation
Roadmap
Legend
Provided by BCM Consultant
Provided by Organisation
Provided by Resource Owners,
e.g. IT
Existing BCP - review and update
Provided by BCM Consultant
and Organisation
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9. Ascent Software Functionalities
The application delivers the following full life-cycle of BCM activities:

System configuration and reference data maintenance

Business Impact Analysis

BC Plan creation and generation

BC Plan Testing and Reporting

Management Review and Approval

Enterprise Reporting and analysis

BCM Programme Governance

Event Management / Plan Activation

Document Repository for Approved BCM documents

Can be customised to interface with your existing corporate data sources to minimise data maintenance effort

Integrated document repository contains all approved documents from the BCM lifecycle

Scales well from the smallest to the largest organisation – from a single user to an unlimited number of system users

Supports a “five minutes a month” user interest level but obtains maximum results

All data is exportable (as XML) for use in other management information systems
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10. BCM Programme Benefits
Enables BC response capability within the business area
Recovery strategies will be based on known/evident capabilities
Effectively meets typical organisation-related BCM Challenges
Enforces Review and Approval for key planning documents
Provides immediate access to many informational reports at the click
of a button
Increase in BCM Programme quality as the BCM methodology is
applied consistently
Reduces governance and audit efforts
Enables an executive overview of the BCM programme
Simplifies attestations to stakeholders as a clear view of BCM
programme status exists
Removes the need for business owners to become BCM specialists
Removes the need for IT management of the solution
Crisis management can be commenced immediately a disruption
occurs
Increases confidence regarding organisational resilience capability
Able to quickly and accurately aggregate data into information – on
an enterprise level
Crisis Management logging and reporting is more efficient and
effective
Provides visibility of decision-making process for real event responses
Provides bona-fide evidence for insurance claims
Gaps between BCM resource requirements and resource availability
immediately known
Enables real time activation and status tracking regardless of
operating location
Mobile devices are included in Ascent’s development roadmap
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11. Enterprise Reconciliation System
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12. • ‘Not-On-Us’ ATM
Transactions
• ‘Remote-On-Us’ ATM
Transactions
• Cash in ATM
• Bank vs. POS
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• Trade: Reconciliation between
trading systems, settlement
systems, Pre-settlement open trades
and various counterparties/custodians
• Cash: Cash balances
, statements (SWIFT) from
counterparties, Cash item , client
accounts and Net settlement
value
• Asset: Asset classes , Depot
account , internal
books, custodians
General Ledger
ATM
• ‘On-Us’ ATM transactions
Securities
Overview- Type of Reconciliations
• Cash: Cash sales, Bank
Statements, Cash Deposit
• Credit Card: Transaction on
POS ,Bank
Statements, Commissions
• Others: Bank transactions with
Bank statements, POS
collections, Internal systems, AP
& AR and General Ledger
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13. Scenario based automated transaction
matching to detect the matched & un-matched
transactions by reporting/indicating possible
exceptions.
Tunable transaction matching algorithm for
better performance SLA based matching.
Exception
Management
Recon type includes
ATM, Card, Nostro, Issuer/Acquirer, UAE
CB FTS, WPS & E-Guarantee etc
UI based configurable matching rules which
incorporate complex business intelligence.
Fully integrated Configurable online
management of exceptions summary, balances
and details transactions with drilldown
capability
Managed Services
Configurable data structure template creation
for processing of transactional data with
heterogeneous structure from various
upstream systems
Harmonization of the transactional Data from
various Up-Stream Systems which involves
validations, enrichment, transformations, deduplication etc
Reconciliation System
Integration with the upstream systems for
transaction data input
Data Pre-Processing
Enterprise Integration
End to End Recon – Software & Services
Exception Handling
Real-time capability of Break resolution like
manual matching, manual un-matching and
write-offs
Cancelled and corrected transactions are
processed in real-time.
Flexible workflow
management
Configurable Enterprise
Reporting & Dashboards
Pre-Canned template
Based
Schedule report
generation & event
based publishing
Standard operational
and performance reports
will be configured
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Downstream
Integration
Business users access
through authorizations
and RBAC
Enterprise Reporting
& Dashboards
RBAC & Workflow
Recon Solution and Services
Write-offs, resolved /unresolved exceptions
update to various downstream systems like GL.
Of various
reconciliations that
needs to be handled
manually
Transaction processing

14. Reconciliation Process Overview
Straight Through
Processing
Multiple Currencies
Downstream
Integration
Compliance
Real Time
Reconciliation &
Exception
Management
Various File
Formats
Manual /
Proprietary
Software
Sustainable
Enterprise Reconciliation Platform
Ascent - Recon
Role Based Access
Control & Workflow
Unsustainable
Heterogeneous
Systems
Data Mismatch with
3rd Party
Inconsistent
Reference Data
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Enterprise
Reports
Intelligent
Algorithm –
Accurate & Fast
Alert & Escalation
Mgr
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15. Ascent Recon Solution Features
Ascent Recon is a Real-Time, Powerful reconciliation solution which provides end-to-end enterprise wide scalable solution to manage reconciliation
and handle exceptions for complex business processes. It can be readily customizable for any business process and can easily integrates with almost
any enterprise’s up-stream systems for the transactional feed.
Ascent recon is designed to offer highest level of automation, featuring multiple match rules, rules driven exception processing and automated followups to eliminate unnecessary manual effort and reduce errors, risk and exposure. Streamline reconciliation activities, removing the need for manual
entries at different environments including paper and spreadsheets.
Ascent Recon also offers Traditional On-Premise implementation, which provides the ability to supervise and manage the process by the users in their
own secure environment. The solution improves operational efficiency and visibility while reducing operational risk and ongoing operational costs.
It is easy to deploy and use for various business sectors like Banking, hedge funds, investment managers, prime brokers, broker/dealers and
custodians, Retail and Telecom. It is ready to use as is highly configurable, no development effort is needed as all customization is done through rich
web based UI. It can be seamlessly integrated in to the existing enterprise wide transaction management solutions and post trade processes.
Ascent Recon solution’s innovative high performing matching algorithms incorporates Artificial Business Intelligence to deliver intelligent matching and
exceptional volume performance. It provides business users with a platform to work only on valid exceptions through exceptions resolution workflow
thereby ensuring timely and accurate break resolution.
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16. Ascent Recon Solution Features
Data Pre-Processing
• Configurable Integration with the
upstream systems for transaction
data input.
Reconciliation Engine
Exception Management
Escalation Management
• Configurable matching
rules, matching groups provides
easy usability and flexibility to
incorporate complex human
intelligence to the recon engine
processing.
• Facility to the business users to
change the matching rules through
UI with virtually no IT
support, which enables to bridge
the gap between business users
and IT support.
• Rule based automated transaction
matching, virtually supports any
complex business rule
• Configurable transaction matching
algorithm for better performance
tuning and matching
• Capable of reconciling any data
type against any other data type.
• Fully integrated Configurable
online management of exceptions
summary, balances and details
transactions with drilldown
capability.
• Real-time capability of Break
resolution like manual
matching, manual un-matching
and write-offs
• Cancelled and corrected
transactions are processed in realtime.
• Configurable and flexible workflow
management.
• Escalation Manager feature
identifies the age of the exceptions
and items are identified, tracked
and highlighted showing their
overdue, responsible person and
critical dates using configurable
rules. The age of items is then
utilized by the delivered
dashboards to help quickly identify
risk associated with the length of
time an item has been on the
system.
RESEAR
CH
• Platform is business ready to preprocess and store varied formats of
SERVICE
data files.
S
• The ability to
Profile, Validate, Enrich, Transform
and Mask the data to make it ready
for the reconciliation.
RISK MANAGEME
SERVICES
Role Based Access Control & Downstream Integration
Configurable Enterprise Reporting
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17. ATM Reconciliations
On-Us
Not-On-Us
Remote-On-Us
Reconciling ‘On-Us’ ATM transactions involve a 3-way reconciliation between ATM EJ (electronic journals)
files, ATM Network Switches and the host general ledger i.e. cash Dr. / Cr. as per ATM account.
Reconciling ‘Not-On-Us’ transactions involve two reconciliations tasks. One reconciliation is performed at
the occurrence of the ATM transaction by a customer of other bank, which is 4-way reconciliation between
Acquirer bank’s host system ATM account, ATM EJ files (electronic journals), ATM network switch and NFS
switch which approves the fund withdrawal from the ATM. The second reconciliation is performed on
receiving the settlement advise(RTGS/DNS message) from the Issuer banks, which is a 2-way reconciliation
between Acquirer bank’s settlement account with issuer banks settlement advice(RTGSDNS message).
Reconciling ‘Remote-On-Us’ transactions involve 4-way reconciliation between Issuer Bank’s host general
ledger, Issuer switch, NFS network switch and the payment order(RTGSDNS message).
Cash in ATM
This reconciliation validates ATM cash, switch cash balances and physical cash so that the entire ATM
machine is balanced taking into consideration what was last loaded, less what was dispensed to
customers, less what remains, including reject. Reconciliation also analyzes cash transactions patterns of
each ATM and helps in cash management and forecasting to determine the optimum order for each ATM, and
to keep ATM cash at the minimum level needed to meet demand.
Bank vs POS
Reconciliation platform can handle various transactions other than ATM transactions like Online/Offline/PrePaid Debit Card transactions, Credit Card Transactions and Electronic Purse Card Transactions. Though the
transactional life-cycle basically is similar to that of the Bank’s ATM transactions, the complexity gets
multifold due to the presence of additional parties like merchant POS log, Settlement and POS Gateway
provider Bank.
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18. Reconciliation Solution Architecture
Ascent Recon Banking
Exception Management
Configuration Manager
Data Pre-Processing Exception Management
Dashboard
Recon DB
Data Exception DB
Enterprise Reports
Matching Engine
Downstream Updates
Data Pre-Processing
Configuration
Data Pre-Processing Engine
Staging DB
Communication Backbone (MOM)
Enterprise Integration Tool
Host LOG
Switch LOG
CBS
ATMs
SWITCH
POS Terminals
Internet
Banking
Branch Host DB
Host Bank
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Electronic
Journal
Host DB
Non-CBS
EJ LOG
EJ
Payment Gateway LOG
Tie-Up Bank Switch LOG
Tie-Up Bank Switch
Issuer Bank Switch
Interchanges
MasterCard
NFS
Visa
Other External
Networks
Consortium (Inter ISO)
Cashtree
BANCS
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19. Our Clients
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