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AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A . INDEX 8 Philosophy 4 Fixed-Income Our Offices 21 Equity 9 History 5 Auriga EEUU 11 ClickTrade 13 AurigaBonos 14 Our Investment Funds 15 Our SICAVs 16 Wealth Management 17 Hedging Advisory Services 18 Funding Optimization 20 2
AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A . AURIGA GLOBAL INVESTORS Solutions with value Philosophy History 3
AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A . Philosophy Auriga Global Investors was founded in 2007 with a Since our launch, we have built trust based on the strong commitment to meet the financial and investment following principles: needs of our clients, partners and shareholders. -Independence: It allows us flexibility in a constantly Our main goal has always been the pursuit of excellence changing environment. through the best professionals in each business line. Fixed-income and equity teams were the first to join the -Closeness to our clients, partners and shareholders. It is company, and are the foundation on which we are our highest priority; we build long-term relationships on a building our business. The challenging environment of day-to-day basis. the financial crisis encouraged us to establish Auriga USA. -Experience: It is reflected in each of our professionals. Since our inception, we have also made a firm commitment to retail business, both in fixed – come, -Solvency. It is our calling card to the financial institutions with Auriga Bonos, and in equity, with Click Trade. with which we work. Our perseverance and long-term commitment to projects -Growth, through the constant pursuit of new business and people have led us to emerge from the crisis in a lines that meet the financial needs of our clients, partners stronger position. and shareholders. -Recognition for each of our employees. We strongly believe that recognition by the company is a reflection of their work. Today, we are in the best possible position to continue building a great financial services company. 4
AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A . 2007 2008 2009 2010 2011 2012 HISTORY Ambition Confidence Work Growth Consolidation Renewal • Fixed- • Equity • Hedging Income Advisory • Auriga EEUU Services • ClickTrade 2013 2014 • AurigaBonos • Wealt Management Innovation Expansion • Funding Optimization 5
AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A . HISTORY Auriga is one of the leading companies Our independence and objectivity have allowed our Auriga is a member of the following markets and in the fixed-income and equity company to obtain excellent results in an adverse organizations: markets in Spain. economic and financial environment. Auriga Global Investors SV, S.A . We provide comprehensive wealth management services adapted to our clients’, as well as customized solutions to Madrid, Barcelona and Valencia stock exchanges their needs. Eurex (German derivatives market) AIAF (Fixed-income market) Auriga has a multidisciplinary team with proven MAB (Alternative stock market) professional experience in wealth management and Latibex (Latin American Securities Market) investment services, and is present in all major financial Iberclear (Clearing & Settlement) markets worldwide. The company has offices in Madrid, Barcelona, New York, Chicago, San Francisco, Santa Auriga USA LLC Monica and Westlake Village. Broker-dealer member of the NASDAQ market (authorized by the SEC) FINRA (Financial Industry Regulatory Authority) Auriga Investors SICAV was incorporated on October 20, 2009 in Luxembourg. It was registered by the CSSF, which supervises different funds. Auriga’s partners are proactively involved in the development and growth of the company. The employees hold part of the shareholding of the company. Auriga Global Investors stands out for its high level of specialization and proven professionalism. The company has opened new business lines in order to meet all the financial needs of its clients. 6
AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A . INSTITUCIONAL CLIENTS Fixed-Income Equity Auriga EEUU PRIVATE CLIENTS ClickTrade AurigaBonos WEALTH MANAGEMENT ASSET MANAGEMENT CORPORATE SOLUTIONS Our Mutual Funds Hedging Advisory Services Our SICAVs Funding Optimization 7
AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A . INSTITUTIONAL CLIENTS Fixed-Income Auriga Global Investors’ fixed -income desk has established itself as one of the leading fixed-income teams in Spain and Europe. Our aim is to provide the best service to the main Spanish Our proprietary portfolio is one of the key elements in and European financial institutions in the trading of fixed- achieving our objectives. Our traders manage this income securities. portfolio day-to-day to extract the highest possible profitability within well-defined risk parameters. The The trading volume of the desk has been growing management of this portfolio is also an indispensable tool annually to such a level that it is currently one of the to provide our clients with immediate liquidity. leaders in the sector. During the last financial crisis, marked by volatility, Auriga A large team staffed by professionals of different has become a benchmark for providing a way out to nationalities allows us to provide services to clients across securities whose liquidity was almost nil. We believe that Europe. Their combined knowledge, experience and our clients value the effort which we have always made in professionalism enable us to trade a very extensive range order to be faithful to that commitment to provide of assets, including corporate bonds, public debt, liquidity at all times. securitizations, mortgage-backed securities, senior and subordinated financial bonds, etc. 8
AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A . INSTITUTIONAL CLIENTS Equity At the forefront of innovation to provide our customers with professional solutions. Auriga Global Investors is a member of the Madrid, Barcelona and Valencia stock exchanges and provides execution services to its resident and non-resident institutional customers in the following markets: Spain - BME 1 Germany - XETRA Description of the service France, Holland, Belgium and Portugal – EURONEXT Italy – Borsa Italiana ----------------------------------------------------------------------------- Switzerland – SWX-VX Finland, Norway, Sweden and Denmark – OMX Auriga’s order execution services cover the entire London – LSE spectrum of needs our customers may have in a highly USA – NYSE y Nasdaq demanding international environment, from the most sophisticated IT system (DMA-Direct Market Access) to the traditional telephone monitoring service. Our team of highly qualified professionals is one of the most innovative in the Spanish market and has more than 25 years’ experience in front office, middle office and back office operations, as well as in the fields of technology and regulatory requirements of the national and international markets in which it operates. 9
AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A . INSTITUTIONAL CLIENTS Equity 2. 3 Front Office Middle & Back Office ----------------------------------------------------------------------------- ----------------------------------------------------------------------------- Real- time monitoring of clients’ activity. Auriga has its own internally-developed software Types of front-office service: applications (ABOT – Auriga Back Office Tools), through Notification to customers of any rejection of orders and which it meets the most demanding reporting needs, 1.Routing Service exceptional circumstances that may affect the normal with the highest standards of regulatory compliance and operation of the business or trading activities. information transparency. Execution of orders in stock markets with direct access to them (order-routing service). Auriga has Daily reporting to clients on financial markets events and Reconciliation of files at market closing with a summary developed and implemented the most sophisticated news: of clients’ transactions. order-routing system in the Spanish Market: Auriga nanoGAIN. -Admission of securities Issue of any kind of report or confirmation adapted to clients’ requirements to be sent by fax, via email, via FTP, Auriga nanoGain is a FIX-based order transmission -Suspension of securities etc. engine approved by the most important stock exchanges in the world, including the Spanish stock -Financial transactions. Daily monitoring of the clearing and settlement process market. of trades. - Changes in ranges and ticks, etc. The speed (latency) of nanoGain is measured in Coordination of the process between the market, the microseconds and is the best on the Spanish market. client and the clearing & settlement entity. 2. Care-Orders Execution of orders in several stock exchanges in which trades are conducted with the assistance of a trader. Orders may be received and transmitted by telephone, email, via Bloomberg, or by any other means of communication generally accepted in the markets. 10
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