Awards Methodology 2017

The methodology provides an overview of the conditions and criteria used by SRP to distinguish Manufacturers, Distributors and Service Providers active in the alternatives & wealth management market.

To vote please visit StructuredRetailProducts.com.

Please note that this methodology is for the Asia-Pacific Alternatives and Wealth-Management Awards 2017, with the results to be collected from the Asia-Pacific Alternatives and Wealth Management Awards survey running from 15 February to 10 March 2017.

Asia-Pacific Alternatives &Wealth Management AwardsSingapore | 23-25 May 2017

SRP Asia-Pacific Awards 2017CATEGORIES

www.StructuredRetailProducts.com’s Asia-Pacific Ranking aknowledges the best Manufacturers, Distributors and Service Providers in the following categories:

Manufacturers Providers/ Private Banks

Service Providers Other Awards

Best House, Asia-Pacific

Best Distributor,Asia-Pacific

Best Index Provider Best Educational Initiative

Best House, Equities Best Distributor, Northeast Asia: Japan, South Korea

Best Issuance Platform

Best Technological Solution

Best House, Foreign Exchange

Best Distributor, South and Southeast Asia

Best Technology Provider

Best Insurance Deal

Best House, Commodities

Best Distributor, Greater China: China, Hong Kong, Taiwan

Best Pricing and Risk Provider

Best Private Banking Deal

Best House, Interest Rate

Best Private Bank, Asia Pacific

Best Law Firm Best Structured Fund Deal

Best House, Hybrids Best Private Bank, Asia Pacific

Best SP and Derivatives Exchange

Personality of the Year

Best House, Credit Best Private Bank, Northeast Asia

Best ETF House Deal of the Year

Best House, Japan Best Private Bank, South and Southeast Asia

Best Proprietary Index Provider

Best House, South Korea

Best Capital Protected Distributor, Asia Pacific

Best Smart Beta Index Provider

Best House, South and Southeast Asia

Best Yield Enhancement Distrib-utor, Asia Pacific

Best House, China Best Issuer, Asia Pacific

Best House, Hong Kong

Best Issuer, Japan

Best House, Taiwan Best House, Warrants

Awards MethodologyGENERAL RULES

• SRP will conduct a comprehensive survey of the market with institutions associated with structured products between 15 February and 10 March 2017.

• Respondents will vote for various awards under the categories of Manufacturers, Distributors, Service Providers and Other Awards, whose results will be independently verified by SRP.

• Distributor and Private Banking awards are based on SRP’s proprietary database and submission of product data by the candidates between 1 February 2016 and 31 January 2017.

• Some awards will involve a 400-word, editorial submission with winners determined by a panel of judges.

To vote please visit StructuredRetailProducts.com

Manufacturer AwardsSurvey of the Market (80% weighting)

• Manufacturers will be rated by volume (40% weighting)• Buy side respondents will rate each manufacturer across all asset classes

on qualitative factors (40% weighting):

• Price Competitiveness • Innovation and Structuring Capability • Understanding Client Needs & Aftersales Support

Industry Peer Review (20% weighting)

• Each manufacturer will name the top three manufacturers (apart from itself) for each award category.

Manufacturers Survey of the market Industry peer review

Best House, Asia-Pacific √ √Best House, Equities √ √ Best House,Foreign Exchange √ √

Best House, Commodities √ √Best House, Interest Rate √ √Best House, Hybrids √ √Best House, Credits √ √Best House, Japan √ √Best House, South Korea √ √Best House, Northeast Asia: Japan, South Korea √ √

Best House, South and Southeast Asia √ √

Best House, China √ √Best House, Hong Kong √ √Best House, Taiwan √ √

Providers/Private Bank AwardsDistributorsSRP Database • Winners are calculated by annual sales (50%) and performance data (50%)

included in SRP’s proprietary database.

Submission of Product Data• Candidates will supply all product brochures or term sheets with full sales

and performance data per product, distributed between 1 February 2016 and 31 January 2017.

Issuer and Private Banks

Distributors SRP Database Submission of Product Data

Editorial

Best Distributor,Asia-Pacific √ √

Best Distributor, Northeast Asia: Japan, South Korea √ √

Best Distributor, South and Southeast Asia: India, Indo-nesia, Malaysia,Philippines, Singapore,Thailand, Vietnam

√ √

Best Distributor, Greater China: China, Hong Kong, Taiwan

√ √

Best Private Bank, Asia Pacific √ √ √

Best Private Bank, Northeast Asia: Japan, South Korea

√ √ √

Best Private Bank, South and Southeast Asia: India, Indonesia, Malaysia, Philippines, Singapore, Thailand, Vietnam

√ √ √

Best Capital Protected Distributor, Asia Pacific √ √

Best Yield Enhancement Distributor, Asia Pacific √ √

Best Issuer, Asia Pacific √ √ √Best Issuer, Japan √ √ √Best House, Warrants √ √ √

EditorialThe Best Private Bank and Issuer awards requires a 400-word submission detail-ing product innovation, understanding client needs and aftersales service, as well as relevent product data.

Service ProvidersSurvey of the Market

• All respondents will vote for one candidate in each category based on various criteria. The winners are determined by the total number of votes they re-ceive.

Editorial

• Each shortlisted candidate will need to submit a 400-word application to be measured against the criteria. The winner will be selected by an independent panel of judges convened and chaired by SRP.

Categories Survey of the Market

Editorial Criteria

Best Index Provider √ √

Innovation, Price competitiveness, understanding client needs

Best Issuance Plat-form √ √

Technology innovation, post-trade service, breath of coverage,user interface

Best Technology Provider √ √

Technology innovation,infrastructure, trade execution,user interface

Best Pricing and Risk Provider √ √

Pricing capacity, Risk Model Capacity, User interface,Integration

Best Law Firm

√ √

Depth of knowledge, Market Respon-siveness, Explaincomplex concepts

Best SP and Derivatives Exchange

√ √

Technology innovation,infrastructure, trade execution,user interface

Best ETF House

√ √

Product Innovation, Price Compe-tiveness, Customer Satisfaction

Best Proprietary Index Provider √ √

Product Innovation, Performance, Customer Satisfaction, Price Competiveness

Best Smart Beta Index Provider √ √

Product Innovation, Performance, Customer Satisfaction, Price Competiveness

Other Awards

Survey of the Market• All respondents will vote for one candidate in each category based on vari-

ous criteria. The winners are determined by the total number of votes they receive.

Editorial • Each shortlisted candidate will need to submit a 400-word application to be

measured against the criteria. The winner will be selected by an independ-ent panel of judges convened and chaired by SRP.

Categories Survey of Market Editorial Criteria

Best Educational Initiative √

Comprehensiveness, clarity,accessibility of educational material

Best ETF House√ √

Product Innovation, price competiveness, customer satisfaction

Best Insurance Deal√

Product size, product performance, customer satisfaction

Best Private Banking Deal √

Product size, product performance, customer satisfaction

Best Structured Fund Deal √

Product size, product performance, customer satisfaction

Personality of the Year √

Peer recognition, Long-term industry initiatives, Integrity

Deal of the Year√

Product size, product performance, customer satisfaction

To vote please visit StructuredRetailProducts.com

If you have any queries please contact:

Tiago Fernandes

Head of Global Data

Direct UK: +44(0)20 7779 8228

Mobile: +44(0)79 7146 4509

E-mail: Tiago@StructuredRetailProducts.com