CompSys v. 2.0 (Trade Compliance Automation Solution)

CompSys v. 2.0 is the most sophisticated compliance automation solution in the market today. It automates almost all manual processes of the compliance departments in brokerages (both buy- and sell-side) and prevents questionable trades from "falling through the cracks." The efficiency of the system lies in its capabilities to draw attention to events in a proactive fashion (via e-mails, PDA, and cell phone alerts). It cuts down monitoring time and efforts drastically while making the process "bulletproof."

All this on a web-based framework that is highly secure and yet very easy to use and manage. The CompSys Server is delivered as a "locked-down hardware/software application" which WILL NOT allow unauthorized access at any level.

The following are key features of CompSys v. 2.0:

• Fully automated data integration of cleared trades
• N-tier architecture with a browser as the only component required on end-user desktops
• Automatic reports (PDF) generation on the server
• Alerts sent to e-mail, PDA, or cell phone
• Reports sent at predetermined intervals to e-mail, PDA, or cell phone
• Automatic action item creation on flagged trades for follow-up and actions for closure
• Creation of custom stock lists to monitor
• 100% audit trail of all trades, accounts, stock lists, and compliance actions
• Easy configuration of the the Compliance Rules Engine
• All data entry & management interfaces with PDA extensions
• T+1 Ready, API's to integrate with trading systems, real-time approval mechanism
• Delivered as fully contained, pre-configured server(s) to be plugged into your network and ready to go. There is no additional cost of expensive OS and database licenses and other third-party software components
• Tested/Approved on Unix (HP, IBM), Sun Solaris, Windows 2000, and Red Hat Linux

Please contact Sales at CenterSys to arrange for a detailed tour and presentation of Compliance System v. 2.0. After the initial presentation & demonstration of the various features of the system, you may request a full featured hosted server setup of CompSys for an extended evaluation.

A typical client installation is as follows:

• Pilot program (usually runs from 10 to 12 days) - where the client uses the system on a Pilot basis and provides feedback for customizations.
• Customization (usually runs from 5 to 15days)
• User training (usually takes 1 to 3 days)
• Production release (takes 1 to 2 days)