FINRA has established the Order Audit Trail System (OATS), as an integrated audit trail of order, quote, and trade information for all NMSstocksand OTC equity securities. FINRA uses this audit trail system to recreate events in the life cycle of orders and more completely monitor the trading practices of member firms. Under FINRA Rules 7410 - 7470, FINRA member firms are required to develop a means for electronically capturing and reporting to OATS specific data elements related to the handling or execution of orders, including recording all times of these events in hours, minutes, and seconds, and to synchronize their business clocks. These Rules were approved by the SEC on March 6, 1998.

The common regulatory reporting engine is credit Suisses strategic solution for reporting of all OTC derivatives as per regulatory requirements, due to its highly configurable nature it is being used for all the regulators across the globe.

The Standard Portfolio Analysis of Risk (SPAN) margin system, proposed by the Chicago MercantileExchange provides a method to integrate both futures andoptionsonfuturescontractsintothesamesystemtoassessaportfolio’srisk.IntheSPANMethodology,thecontractsareexaminedoverarangeofpriceandvolatilitychanges to determine potential gains and losses.

The Standard Portfolio Analysis of Risk (SPAN) margin system, proposed by the Chicago Mercantile Exchange provides a method to integrate both futures and options on futures contracts into the same system to assess a portfolios risk. In the SPAN Methodology, the contracts are examined over a range of price and volatility changes to determine potential gains and losses.

OpenText is a leading global provider of cloud based electronic messaging And business integration services that help companies optimize relationships with their partners, suppliers, customers and other stakeholders.

EasyLink is a leading global provider of cloud based electronic messaging And business integration services that help companies optimize relationships with their partners, suppliers, customers and other stakeholders.

It is a financial solution of SunGard, which is meant to support the middle and back office operation for Fixed income securities and equities. Its middle office provides the functionality that broker-dealer require to properly handle their trade enrichment process and back office includes automatic capture of trades from front/middle office, handles netting and prepares/sends settlement instructions to settlement agents, local and global custodians, central securities depositories.

It is a financial solution of SunGard, which is meant to support the middle and back office operation for Fixed income securities and equities. Its middle office provides the functionality that broker-dealer require to properly handle their trade enrichment process and back office includes automatic capture of trades from front/middle office, handles netting and prepares/sends settlement instructions to settlement agents, local and global custodians, central securities depositories.

The network custody and clearing system(NCS) for CITIBANK project involved the management of custodial services, This include management of securities into the system and the Corporate Actions announced on those securities in the global market. At the Corporate Action level it include capturing of SWIFT messages with the rule based design to create and update events, management of entitlements based on client responses their taxes and their final disbursement of cash and securities.

The network custody and clearing system(NCS) for CITIBANK project involved the management of custodial services, This include management of securities into the system and the Corporate Actions announced on those securities in the global market. At the Corporate Action level it include capturing of SWIFT messages with the rule based design to create and update events, management of entitlements based on client responses their taxes and their final disbursement of cash and securities.