1. –LSI Internal Use Only LSI’s Investments in Compliance Energy Insight 2014

2. LSI Internal Use Only Focus on compliance and ethics makes us a better partner We are the “third party” in third party risk management Also provides better risk mitigation for clients, especially in areas like: Export Controls Sanctions Anti-Corruption Becoming a Better Partner –2–2

3. LSI Internal Use Only Invested in People Compliance Officer An attorney with over 13 years’ experience in international white collar defense and regulatory compliance Export Compliance Administrator Preparing export shipping documents; Performing restricted party screening of buyers; Acting as liaison between customers, Government Liquidation personnel, shippers, freight forwarders, and any other parties involved in a transaction to ensure that proper documents is received for sales to foreign buyers of controlled items. Becoming a Better Partner: How? –3–3

4. LSI Internal Use Only Investing in Training Increase in live training for all personnel Training for sales and operations personnel in Anti-corruption, Export Controls Data Privacy Tailored training, fit for purpose Specialized training for US and international legal and compliance staff in Export Controls Data Privacy Anti-Corruption Becoming a Better Partner: How? –4–4

5. LSI Internal Use Only Investing in Technology New Restricted Party Screening Platform Screening more often (daily and on –demand) Better tracking screening results Better capability to customize to Client needs Product catalogue Incorporates data about export controls and customs codes (HTS codes) Multiple countries Will be able to flag similar items for potential export risk Becoming a Better Partner: How? –5–5

6. LSI Internal Use Only Specific Initiatives Enhancing export processes and documentation Provides more protection for sellers Providing more information and support for buyers Export, import, transportation Strategic alliances with several Export Compliance Consultants Exploring additional resources through 3PL relationships More FAQs More information for Customer Service Reps Becoming a Better Partner: How? –6–6

7. LSI Internal Use Only Jill Williamson, Associate General Counsel – Compliance Officer 1920 L St. NW, 6 th Floor Washington, DC 20036 Jill.Williamson@Liquidityservices.com 202-467-5882 Contact –7–7