22 November 2016

Capital Markets Day

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KYC | COMPLAINTS | SHAREPLANS

KEY ASSETS

OPERATING AT SCALE

FINANCIAL SERVICESDISRUPTION

TRADING UPDATE

M&A

TECHNOLOGY

WORKING IN PARTNERSHIP

PRESENTERS

INTRODUCTIONS

| Equiniti Group plc 20163

AMY MADDENDirector of Marketing and Communications

PHIL AINSLEYManaging Director, Employee Services

JAMES BROWNDirector, Corporate

Development

LIAM MCGRATHChief Operating Officer

ADAM GREENChief Risk Officer

ANDY EDLERBusiness Development

Director, Intelligent Solutions

SCOTT SHIELDSManaging Director,

Enterprise Workflow

PAUL MATTHEWSExecutive Director, Corporate Markets

GUY WAKELEYChief Executive Officer

| Equiniti Group plc 2016

DELIVERING IN LINE WITH MARKET EXPECTATIONS

TRADING UPDATE

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• New clients

– Admiral

– Biffa

– GoCompare

– Retirement Advantage

• Renewed/extended relationships

– All of our FTSE100 clients

– Estate and probate administration service with a leading UK bank

– KYC and customer onboarding services with two international banks

New ClientsExisting Clients

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INTRODUCTION

EQUINITI – KEY ASSETS

RELATIONSHIPS SCALE TECHNOLOGY PEOPLE

02 03 0401

RELATIONSHIPS

01

SCALE TECHNOLOGY PEOPLE

02 03 04

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RELATIONSHIPS

Depthtypically > 10 services

LengthOn average

28 years

BreadthMore than 70 of

the FTSE100

RELATIONSHIPS

01

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SCALE

£200bn of paymentsMore than The largest pension

and share registers

in Europe

mobilise tasksThe ability to

at short notice at the largest scale

processed in 2016

SCALE

02

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TECHNOLOGY

30 proprietary platforms on UK-

owned infrastructure

More thandata and payments

Processor ofto entry and exitSignificant barriers

at Amazon scale

TECHNOLOGY

03

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PEOPLE

PEOPLE

04

4,500 people

with significant offshore capability

sophisticated, high margin

services

Providingspecialismexperience

diversity

03Operating at scale

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ROYAL MAIL GROUP

A NEW RELATIONSHIP

2013 2013 2016

IPO Statistics

1. Largest online offer

2. 250k applications received online in 48 hours

3. £1.1bn returned to investors via debit cards in 4 hours

Registrars & Share Plans

1. Newly created FTSE100 company

2. >400k shareholders

3. Share plans to 150k employees

Maturity1. Net £350m shares

2. 125k eligible share dealing instructions

2016

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ROYAL MAIL GROUP

A NEW RELATIONSHIP

IVR SMS Portal

For 125k postal workersBuilding end-user customer journeys

2016

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CORPORATE ACTIONS AT SCALE

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• Acquisition of BG Group by RDS

• Processed £13bn of payments

• Despatched 500k cheques

• Acquisition of ARM by Softbank

• Processed £24bn of payments

• >3k cash messages

• Acquisition of SABMiller by AB InBev

• Processed £39bn of payments

• Largest Crest payment in UK history

04Disruption in Financial Services

Connectedinsurance

eg wearables

Niche specialised products

Alternativelending

Strategic role of dataStreamlined

infrastructure

Automation of high-value activities

Cashlessworld

Smarter, faster machines

New market platforms

Process externalisation

eg cloudcomputing

Reduced intermediation

Customer empowerment

Crowdfunding

Empowered investors

eg social trading

Shiftingcustomer

preferenceseg virtual

technologies

Insurance disaggregation

Emergingpayment rails

eg crypto current

| Equiniti Group plc 2016

SIX CLUSTERS OF FINANCIAL SERVICES INNOVATION

WHEEL OF FINANCIAL DISRUPTION

15Source: World Economic Forum 2015

| Equiniti Group plc 2016

REGULATION

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167Compliance officers must assimilate on average 167 regulatory alerts per day.

JP Morgan CEO Jamie Dimon wrote in a letter to shareholders that the firm had spent £1.6bn on their Compliance Department, employing 13,000 people.

£1bnOver 80 pieces of legislation have been passed in the UK since the financial crisis.

80HSBC, Deutsche Bank and JPMorgan, spend over S1bn a year each on regulatory compliance and controls.

(fintechFT, 2016)(British Banking Association)

(Thomson Reuters, 2016) (IT ProPortal, 2016)

13,000

| Equiniti Group plc 2016

REGULATION

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£40mThe average bank spends £40m per year on KYC compliance with some banks spending up to £300m annually on KYC (Know Your Customer) Compliance and Customer Due Diligence (CDD).

1,997,247 complaints were opened by financial services organisations in Q2, 2015.

$1-2tnGlobal spending on AML compliance is set to grow to more than $8 billion by 2017 (a compounded annual growth rate of almost 9%).

$8bnGlobal money laundering transactions are estimated at 2 to 5% of global GDP, or roughly U.S. $1-2 trillion annually.

(Global Economic Crime Survey 2016, PwC) (Wealthlnsight)

(IT ProPortal, 2016) (Financial Conduct Authority)

1,997,247

£ The cost of regulatory compliance is growing and forecast to increase year on year

05Technology

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TECHNOLOGY

ONBOARDING KYC

COMPLAINTS & REMEDIATION

AUGMENTED REALITY

030201 04

FURTHER CAPABILITIES

ONBOARDING KYC

01

COMPLAINTS & REMEDIATION

AUGMENTED REALITY

FURTHER CAPABILITIES

0302 04

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KYC NET

TechnologyPlatform as a service

(PAAS) Customer onboarding

Use CaseClient onboarding and rectification for retail

and commercial banks

Clients

ONBOARDING KYC

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DEMO

KYC NET

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EQUINITI CHARTER

Technology Use Case ClientsEnterprise workflow for financial services,

complaints management and rectification

PPI, mortgages, packaged accounts

COMPLAINTS & REMEDIATION

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DEMO

EQUINITI CHARTER

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EQ STRATA – AUGMENTED REALITY

Augmented reality powered by HP Aurasma

Shareplan, engagement and enrolment for

mobile/global work forces

Technology Use Case Clients

AUGMENTED REALITY

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DEMO

EQ STRATA – AUGMENTED REALITY

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FURTHER CAPABILITIES

Selftrade Compendia Risk Factor

FURTHER CAPABILITIES

04

| Equiniti Group plc 201627

EQUINITI ACQUIRES FOR CAPABILITY NOT SCALE

ACQUISITIONS

01Access to growth markets

New capabilities relevant

to existing clients base

02Include

proprietary technology

03Delivering regulation-

driven, data-intensive, non-discretionary,

mission-critical services

04RoI target

of >15% and accretive to earnings in

Year 1

05Sourced

off-market

06

| Equiniti Group plc 2016

THE JOURNEY

ACQUISITIONS

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2008 2009 2010 2011 2012 2013 2014 2015 2016

HAZELL CARR REGULATORY RESOURCES

ICS COMPUTINGCASE MANAGEMENT, PAYROLL SERVICES, NEAR-SHORE BPO SERVICES

360 CLINICALMEDICAL REVALIDATION PLATFORM AND SERVICES

KILLIK GLOBALSHARE PLANS EXECUTIVE SHARE PLANS

TOPLEVELDIGITAL SOLUTIONS

DAVID VENUS COMPANY SECRETARIAL SERVICES

NAT WEST EXEC DEALING EXECUTIVE SHARE DEALING

PRISM COSECCOMPANY SECRETARIAL SERVICES

JP MORGANCDS EXECUTIVE CORPORATE DEALING SERVICES

PANCREDIT LOAN ADMINISTRATION

INVIGIA COMPLAINTS HANDLING SOFTWARE

TRANSGLOBAL PAYMENT SOLUTIONSINTERNATIONAL PAYMENTS

XAFINITY GROUPPENSION SOLUTIONS

PROSEARCHASSET REUNIFICATION SERVICES

PETER EVANSFINANCIAL SERVICES SOFTWARE

SELFTRADEONLINE SHARE EXECUTION PLATFORM

KYCNETKNOW YOUR CUSTOMER TECHNOLOGY & SERVICES

RISKFACTORFRAUD & DATA ANALYTICS

REGULATORY CAPABILITY TECHNOLOGY CAPABILITY BOTH

CLIENT RETENTION 2016

• Registration Services • Registration Services• Sharesave

• Investor Services• Registration Services

• Registration Services• Employee Services • Exec Schemes

• Registration Services

• Registration Services • SAYE• Dealing• ESN

• Registration Services • Registration Services • Registration Services • Employee Services

• Registration Services• Employee Services • Exec Schemes

• Registration Services • Employee Services

• Registration Services • Employee Services• Exec Schemes

• Registration Services • Employee Services

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STRATEGIC PARTNERSHIPS

BANKING AND CAPITAL MARKETS

INVESTMENT, LIFE AND RETIREMENT

CONSUMER AND REGULATED

CHALLENGERS, LENDERS AND INSURERS

| Equiniti Group plc 201631

GROWTH/X-FACTOR

STRATEGIC PARTNERSHIPS

2006

2007

2008

2009

2010

2011

2012

2013

2014

2015

2016

• Seven year renewal of life validation

• Pipeline of opportunities

• Relationship established

• Overseas pension payments launched

• Equiniti International Payments launched

• Life validation contract

• Growth in over-seas pension payments proposition

• Corporate FXrelationship established

• Overseas executive share plan paymentslaunched

• Five year renewal of strategicpartnership

• Overseas dividend payments undertaken

• Residual accounts

| Equiniti Group plc 2016

CITI AND EQUINITI

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IRETI OGBUEMEA HEAD OF PAYMENT AND RECEIVABLES

What we value about Equiniti is that they’re innovative, creative

and proactive.

Equiniti can help us to deploy a more digital model to our clients, to look at the adjacencies to payments such as

the life validation service, and to come up with solutions that help us to enhance our clients’ experience.

CREATING VALUE THROUGH PARTNERSHIP

| Equiniti Group plc 201633

CONCLUSIONS

Equiniti has scale capacity in regulated

markets

Multiple technology capabilities

accelerate growth

Outsourcing is only of lasting value if

technology can drive innovation

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| Equiniti Group plc 201634

Thank you