Capital Markets Partner Guide 09

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CAPITAL
MARKETS
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FOREWORD
PARTNER GUIDE
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021000006d6e74725247422058595a
2009
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W
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elcome to the Worldwide Capital Markets Partner Guide
2009.
In the current economic environment and after having witnessed an
unprecedented destruction of capital in their lifetime, established and battle

hardened investment professionals could be forgiven for staring wideeyed at
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the
range of challenges they face. In the last two years new regulation has
0001020100970096000
been
introduced that opened up the global markets and intensified both the
0ffe20c584943435f5052
competitive
environment and the need to prove compliance. As profit
4f46494c450001010000
margins
shrink, institutions need to maximise profit from each client by
0c484c696e6f02100000
making
better use of information and continuously reducing the time it takes
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to execute trades. They must achieve all of this in an increasingly tough
95a2007ce0002000900
global economy that is on the verge of introducing more regulation and
0600310000616373704
tougher
processes that will once again change the playing field. Perhaps
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because
of these unique challenges, the companies and departments that
4320735247420000000
are
active in capital markets are often the first to embrace innovative new
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technologies.
Success is awarded those that can provide comprehensive
00f6d6000100000000d3
customer
service with splitsecond timing, and minimised risk using
a flexible,
2d48502020000000000
ffd8ffe000104a46494600010
scalable
and lowcost platform that provides a rich user experience.
At
0000000000000000000
201009500950000ffe20c58494
Microsoft,
we are frequently asked to help financial institutions 3435f50524f46494c45000101
solve difficult
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00000c484c696e6f021000006
problems
such as minimising latency, maximising system performance,
and
0000000000000000000
improving
information management and communication acrossd6e74725247422058595a2007
channels.
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ce00020009000600310000616
We
work with a wide spectrum of partners around the world to deliver
the
0000015000000033646
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performance
and scalability that todays investment professionals
and their
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543207352474200000000000
clients
demand. The Microsoft partners highlighted in this guide
provide a
6c77747074000001f000
range
of software and services that can help banks and capital 00000000000000000f6d60001
markets firms
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to
maximise profit, lower costs, minimise risk and ensure compliance
in a
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fastmoving global business. I hope you will find this guide useful, thought
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provoking and informative.
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000000000000000000116370
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727400000150000000336465
Michel van Leeuwen
025400000070646d646
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4000002c40000008876
Managing Director
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Worldwide Capital
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5a0000021800000014675859
Markets Microsoft
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00
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CONTENTS
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FEATURE
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42000000000000000000000000
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50202000000000000000000000
00000000000000000000000000
00000000000000000000000000
00000000000000000000001163
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SPEND IT WISELY
2
How Microsofts Advisor Platform can help
financial services enterprises differentiate
themselves by providing more holistic
customer service
ON THE PLATFORM
8
Sell?side capital markets firms face unique
challenges in maximising the profitability of
institutional clients. Microsoft has developed
PROFILED
CITI Citi built its Tick Store Reg NMS solution using SQL Server
20
RAYMOND JAMES FINANCIAL Raymond James improved branch office efficiency wi
22
REGNAN
24
Institutional investment research
the Institutional Client Platform to
firm Regnan improved organisation,
address their specific needs
security and service with an
integrated Microsoft environment
STRANGE LANDSCAPE 12 Investment
managers must give serious thought to
their IT as they negotiate a changing
business and regulatory landscape
COMMENTARY
TRADING FOR PROFIT OR TRADING TO

COMPLY? 16 Andy Hughes discusses
how Microsoft can help traders focus
on what they do best
CRM FOR WEALTH MANAGEMENT
PROFESSIONALS 18 Mainstay Partners
assessed how wealth management
firms are using Dynamics CRM. Here
are some examples
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000000000000000000000000000000000000000000
000000000000000000000000000000000000001163
707274000001500000003364657363000001840000
006c77747074000001f000000014626b70740000020
4000000147258595a00000218000000146758595a0
000022c000000146258595a0000024000000014646
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4000000246c756d69000003f8000000146d65617300
00040c0000002474656368000004300000000c72545
2430000043c0000080c675452430000043c0000080c
625452430000043c0000080c7465787400000000436
f70797269676874202863292031393938204865776c
6574742d5061636b61726420436f6d70616e7900006
465736300000000000000127352474220494543363
REUTERS 26 Reuters used SQL Server
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and Windows Server to achieve a
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scalable relational database
management system
000000000000000000000000000000000000000000
0
THOMSON FINANCIAL 28 Thomson
Financial used
a rangeinto
of Microsoft
wealth management professional, a nonfinancial
institutions
the
technologies
its Portia
market, lot of money rests on your and
an explosionto
ofrefresh
new investment
portfolio is
management
system
decisions.
Dealing with individual
competition
becoming ever
more
vehicles,
investors is a pressured job the
intense. Advisors are on the
XENOMORPH 30 Realtime analytics
different sets of needs to be
frontline in the battle for customers.
and data management solutions
assessed, monitored and advised on
Financial services companies are
provider Xenomorph worked with
are as varied and numerous as your
looking to increase advisor
Microsoft to deliver high performance
customers themselves. Its not just
productivity by offering a broad
on standardsbased technology
the markets in which they invest that
range of products and services with
change personal circumstances
greater convenience, and the focus
such as family responsibilities can
is shifting away
fromservices
transaction
Meanwhile
financial
also
have an
on their
fees towardsare
a predictable
fee
enterprises
pressured
In
addition
to impact
these pressures,
COMPANIES
32
The directory
AZ lists to
capital
markets
investment
needs.are also facing the
based business.
increase
revenue
but at alphabetically,
the same
financial advisors
solutions
providers
with
time
maximise their
current ITand contact
challenge of attracting and retaining
information
on solutions
infrastructure
investments
customers who are becoming
details. It is
a resourceand
designed to help
ffd8ffe000104a46494600010201009600970000ffe20c584943435f50524f46494c4500010100000c484
reduce
their
total
cost
of appropriate
ownership. partner,
increasingly
sophisticated
and
you
select
the
most
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Doing
more
withaless
and improving
demanding. Commoditisation of
rather
than
recommendation.
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reporting transparency for risk,
products and transactions, and
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regulatory requirements and
consumer demand for more
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business intelligence are areas that
convenience and value, mean that
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are increasingly being focused upon
service is now a key competitive
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in the current economy.
differentiator for financial advisors.
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DIRECTORY
Capital Markets Partner Guide 2009

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FINANCIAL SERVICES ENTERPRISES WANT TO
DIFFERENTIATE BY PROVIDING MORE HOLISTIC AND

SUPERIOR CUSTOMER SERVICE. UNDERLYING
TECHNOLOGIES ARE THE KEY TO PROMOTING THE
EFFICIENCIES THAT HELP TO ACHIEVE THIS
BRAD PRODGER,
DIRECTOR, WORLDWIDE ADVISOR PLATFORM, MICROSOFT

deployment and savings leveraging
The role of technology in this
environment cannot be
underestimated. By enabling
alternative distribution channels
such as online sales and service, it is
changing the way financial services
companies compete. Accordingly,
firms are increasingly focused on the
technology platforms that support
them and turning to Microsoft for
highly scalable, secure and cost
effective application platform
technology. Time and again,
organisations acknowledge the ease
of
Microsoft server technologies..
THE TIME MIX

But simply throwing money at the
problem isnt the answer in order
to support advisors as part of a
dynamic business, the system
needs to be a part of the
companys strategy, connecting
information from multiple systems
and silos so that advisors can see a
full picture not only of how and
FEATURE
WE WANT TO GROW OUR COLLECTIVE KNOWLEDGE

BASE AND DISTIL IT SO IT CAN BE OPENLY
CONSUMED BY SUBSIDIARIES ACROSS THE GLOBE
BRAD PRODGER, DIRECTOR, WORLDWIDE ADVISOR PLATFORM,

MICROSOFT
when the customer has

communicated with the organisation,
but also of the size and type of
transactions this has resulted in, how
their needs are developing, and the
products and services that are most
relevant to them now. Customers
want roundtheclock, uptotheminute
service, and in order to provide that,
timing as well as knowledge is
critical if advisors are to respond to
clients needs
maximise
Because
thereand
is so
much their
profitability, for
they
cant afford
to miss
competition
assets,
financial
an
opportunity.
services
enterprises want to
differentiate by providing more
holistic and superior customer
service, says Brad Prodger, who
oversees the Microsoft Advisor
Platform, a framework that enables
just such an approach. Underlying
technologies are the key to
promoting the efficiencies that help
to achieve this. With Advisor
Platform, were promoting
operational efficiencies across three
channels financial advisors, call
centre representatives and the
ability to leverage those same
foundational technologies for
interactive
client internet
sites.
The
Building a platform
that can
change
platform
enables
individual
the
balance
of time
for advisors in
investor/clientfacing
to increase
this way presents twostaff
major
the
amountfor
of companies:
time they spend with
challenges
their client, itand
decreasethe
the time
integrating
throughout
spent
on administration.
business
so it can provide the right
information and functionality; and
ensuring that it is accepted at all
levels of the company, so that
advisors can and will work
productively
with
it. 2009
Capital Markets
Partner
Guide
LOOKING FORWARD
That process of acceptance
includes everyone in the company,
from business decision makers to
technology decision makers, and
ultimately end users. In this
respect, the presence of Advisor
Platform is growing due to its ability
to offer a framework that integrates
with all levels of the business
Advisor
is growing
rapidly,
from the Platform
technology
to employees
especially
mindsets. in Western Europe and the
United States, says Prodger.
Theres a realisation among
financial institutions that financial
advisors and call centre
representatives are already familiar
with Microsoft technology they use
it every day, at home and at work,
but the key to the
OPEN ALL HOURS

CRM is a major feature of the Advisor
Platform, and here it benefits from the
enhanced capabilities of Dynamics CRM
4.0. Integrated client data is one of the
essential building blocks of a CRM
solution, and is the main objective of
many CRM applications, says Max
Fatouretchi, Microsoft EMEA specialist
for CRM in the financial industry.
Naturally, integrated client data is also
useful for developing client profiles and
segments, as well as for providing
added value and for serving customers
individually. Client value traditionally
depends on customer equity, which
means that the customer monetary
value to the organisation must be
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Advisor Platform is that those

intuitive technologies are
integrated to enterprise systems
and expose relevant information
with powerful
workflow
Perhaps
this level
of familiarity is
capabilities.
exactly
what is needed to stimulate a
forwardlooking approach. Europe is
becoming recognised as a centre of
financial services technology
innovation, and the regions financial
firms are able to extend their vision
beyond Microsofts undeniable
strength as a clienttier technology
company to include platform
technology. Indeed, when it comes to
a fully integrated system that all
users will embrace, familiarity at the
client level becomes a cornerstone of
the platforms strength.In Western
Europe, the culture is very forwardlooking, adds Prodger. Advisor
Platform is selling into insurance,
capital markets and banking sectors
because firms are open to innovative
ways of promoting operational
efficiencies at proven levels of
security, scalability and competitive
costs. Most importantly, they
recognise that Advisor Platform
enables technology departments and
architects to assemble and
orchestrate very large initiatives in a
determined.
Effective
CRM gives the
very short period
of time.
financial institution a view of the client
and client profitability without
neglecting client needs and
requirements, and it provides a general
approach for putting the customer at
In
Advisor
Platform demonstration
the the
centre
of attention.
environment, Dynamics 4.0 is the
system of record for client data and
drive data from various applications,
says Brad Prodger. It becomes the
source of truth for advisor, call centre
representative and operations, to
enable visibility in the client relationship
and interoperability with other
applications that support financial
For Prodger, this rate of growth

helps to bust the myth that
initiatives like this must entail high
costs and 1218 months of work. By
promoting operational efficiencies
and helping to improve the advisorclient relationship, the Advisor
Platform has a direct impact on
revenue and profitability, he says.
But a strong contribution to that,
and to its popularity overall, is that
it encompasses many technologies
from Microsoft that our clients find
easier to deploy and customise over
time,
andPERFECT
that end users find easy
FUTURE
to work
with. platforms are the
No
two advisor
same, as each is tailored to the
needs of the organisation it serves.
For example, while the platform
demonstration environment includes
Dynamics CRM at its core, this might
not be the CRM platform of choice
for customers. In this case,
Microsofts framework is designed to
easily integrate to enterprise CRM
systems, financial planning tools,
portfolio accounting utilities and
legacy systems. Disparate data
sources and applications are
connected through Web
advisors wherever they

interface.
All CRM processes employed by a
financial institution derive both from its
strategy and vision for CRM, and from
its focus on customer needs, adds
Fatouretchi: Through CRM, the
institution can better provide customers
with the appropriate products and
customised services. To do that, it must
know its customers and their needs.
Customer profiles can be developed to
establish customer segmentation so
that products and services can be
tailored to customers, with the goal of
increasing the lifetime of customer
relationships and raising the share of
wallet.
FEATURE
services, while partner applications

and Microsoft technologies drive or
communicate with backend
Advisor Platform is often
systems.
implemented as a collaborative
portal that gives advisors centralised
access to client information and
expertise across the institution,
helping them offer more holistic
advice, increase crossselling
opportunities and enhance
regulatory compliance. But the
collaborative nature of the concept
extends
far beyond
the
institution
An
important
part of
the
framework
itself,
due to the innovative
is
the capabilities
assessment utility
development
model
behind it.
were
currently
constructing,
explains Prodger. This enables us to
ask questions about real business
challenges in the client environment,
but also to ask specific technology
questions within the same
framework. This is a quick exercise,
taking only a couple of weeks, and it
will result in a prescribed
architecture that IT people can then
consume with actual .NET code on
ffd8ffe000104a4649460001020100960
actual servers.
they
can usethe
Again,
Western Then
Europe
is among
0960000ffe20c584943435f50524f46494
that to build
leaders
in thea collaborative
proof of concept
c4500010100000c484c696e6f02100000
development
themselves. process. Particularly in
6d6e74725247422058595a2007ce0002
Western Europe, but also in other
0009000600310000616373704d534654
parts of the world, there are
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thought leaders who are picking

what weve built as a core platform
and making it much better, says
Prodger, who envisions giving other
parties access to those
improvements, so that the
demonstration environment
becomes a wiki, a shared,
collaborative development
environment with business
demonstration functionality.
Financial industry leaders across
the globe are asking for that type of
environment, he says.
SPRINGBOARD TO SUCCESS
Advisor Platform comes in many

shapes and sizes. Here are some
examples of how financial institutions
have benefited from it.
Citigroup
Citigroup wanted to provide a Webbased delivery platform to distribute
targeted and highly personalised
information from 270 disparate data
sources to its worldwide workforce in
its Global Corporate and Investment
It
used Microsoft Windows Server
Bank.
System to create a. .NET Web
application that built highly
customisable Web pages targeted at its
The
system bankers.
gave Citigroup increased
investment
business agility and responsiveness
with an extremely rich and
customisable Webbased user interface.
Scalability was improved and the
organisation has benefited from an
extensible content retrieval design, that
supports new and existing document
formats. In addition, the development
We created a portal which enabled
and deployment of mobile solutions has
individuals to flexibly create their own
been simplified.
views while maintaining the rigours of
a system which could be relied on to
ensure the integrity of the
information, says Peter Estlin, CFO of
global banking at Citigroup.
www.citigroup.com
ffd8ffe000104a46494600010201009500950000ffe20c584943435f5
0524f46494c4500010100000c484c696e6f021000006d6e747252474
22058595a2007ce00020009000600310000616373704d5346540000
000049454320735247420000000000000000000000000000f6d6000
100000000d32d485020200000000000000000000000000000000000
0000000000000000000000000000000000000000000000000000000
000001163707274000001500000003364657363000001840000006c
77747074000001f000000014626b707400000204000000147258595
can be openly consumed by
Part of what we want to do is to
subsidiaries across the globe. Were
a00000218000000146758595a0000022c000000146258595a000002
assemble this framework so that its
very much for an open architecture
easy to consume, so we can
that enables both the business
4000000014646d6e640000025400000070646d6464000002c400000
leverage it to learn more about the
concept side and the technology
markets
and
capture
intellectual
088767565640000034c0000008676696577000003d4000000246c75
side to consume the information we
property from those initiatives,
create, to contribute their thought
6d69000003f8000000146d6561730000040c0000002474656368000
concludes Prodger. Well then
leadership in improving that
repurpose
that
learning
so
that
over
004300000000c725452430000043c0000080c675452430000043c00
information, and through their
time, the framework will iteratively
experiences with their clients, to
00080c625452430000043c0000080c7465787400000000436f70797
become stronger and stronger. We
collaborate in building a growing
want to grow our collective
base of knowledge.
269676874202863292031393938204865776c6574742d5061636b61
knowledge base and distil it so it
726420436f6d70616e7900006465736300000000000000127352474
22049454336313936362d322e310000000000000000000000127352
47422049454336313936362d322e310000000000000000000000000
Raymond James
Raymond James adopted Microsoft
Raymond James Financial is a global
Dynamics CRM as a global standard,
00000000000000000000000000000
financial services firm with more than
with more than 1,800 current users,
4,600 advisors. Because 80 per cent
of these advisors are independent
contractors who operate remotely,
the company found it challenging to
share business and customer
information. It needed a customer
relationship management solution
that could support its remote
workforce, integrate easily with
existing business systems, and offer
compelling capabilities to encourage
With independent advisors in 2,200
widespread adoption.
locations worldwide, IT management
was extremely decentralised;
software standards were not
enforced, and contract advisors were
free to install the tools they
preferred. The company estimates
that at one time, more than 2,500
different thirdparty databases were
in use. Accessing key customer data
was difficult for all but the advisor
who maintained the account, and
information such as customer notes,
best practices and reports, was not
shared among the branch offices or
between the branches and main
office. The disparate systems also
left the home office with no feasible
way to track customer relationships
and no central repository for this
valuable business information.
and with plans to make the solution

available to nearly 5,000 people
across its branch offices. Today,
Raymond James offers a powerful
solution that enhances customer
service, helps ensure regulatory
compliance, and integrates easily
Features that help to streamline
with the business tools its advisors
customer service functions include
use every day.
customisable onscreen dashboards
where advisors can access meeting
notes, sales reports, forecasts and
other customer data. Advisors are
also able to take advantage of the
notes pane feature, which provides
users with an intelligent way to record
freeform information about customers
and opportunities. The notes pane
improves the user experience by
automatically attaching date and
userstamped tags to create a
chronological
of of
information
Being able torecord
store all
our
during
a customer
interaction,
advisors
data in one
centralised
meeting,isorgreat,
other situation.
location
says Shelly. With
all of our client data in one spot,
Microsoft Dynamics CRM is able to
help us with compliance.
www.raymondjames.com
verywhe
r
E
FEATURE
e you look, customers are
benefiting from an increasing
ffd8ffe000104a4649460
0010201009600960000ff
e20c584943435f50524f4
6494c4500010100000c48
4c696e6f021000006d6e7
4725247422058595a200
7ce000200090006003100
00616373704d53465400
00000049454320735247
42000000000000000000
0000000000f6d60001000
00000d32d48502020000
00000000000000000000
00000000000000000000
00000000000000000000
00000000000000000000
00000000000116370727
40000015000000033646
57363000001840000006c
77747074000001f000000
014626b7074000002040
within hedge funds used to work
at
investment banks. As internal 00000147258595a00000
218000000146758595a0
traders at the investment bank,
they
000022c00000014625859
were used to receiving in inordinate
5a000002400000001464
amount of functionality, detail and
6d6e6400000254000000
interactivity from their trading 70646d6464000002c4000
systems. As hedge funds get more
00088767565640000034c
sophisticated, these, now external,
00000086766965770000
traders are starting to demand03d4000000246c756d690
the
same level of functionality that00003f8000000146d6561
traders within the banks get, and
730000040c00000024746
56368000004300000000c
they want it now. This is just one
725452430000043c00000
example
ofprovide
increasing
In order to
thatsophistication
functionality,
among
institutional
says
brokerdealers
must clients,
deal with
a80c675452430000043c00
00080c625452430000043
Gupta.
complex and shifting number of
c0000080c746578740000
tools, says Colin Silvester, director
0000436f7079726967687
of product management at IPC:42028632920313939382
The
trading environment is hugely 04865776c6574742d5061
636b61726420436f6d706
complex. In the lifecycle of a trade,
there are quite a few different 16e79000064657363000
tools
00000000000127352474
or applications that traders have
to
22049454336313936362
utilise, or refer to, or at least plan to
d322e310000000000000
THE
NEED
FOR CRM
what
is actually
used is different
00000000012735247422
case
by
case.
The notion of using CRM to 049454336313936362d3
22e31000000000000000
understand customer behaviour,
00000000000000000000
profitability and historical
0000000000000000000
communications is fundamental
to
ON THE PLATFORM
number of channels and choices,
and making businesses work harder

for their share of wallet. Financial
services firms, like other industries,
have realised that in order to
maximise profitability, they need to
improve their understanding of each
customer. It has been long
recognised that businesses need a
360degree view of customer activity
across all channels and product
lines, and this is reflected in growing
investment in customer relationship
management (CRM) technologies.
But for wholesale financial services
firms, there has been a lack of CRM
systems that specifically address the
challenges they face. That is, until
now. Sellside capital markets
Capital Markets
Partner
Guide such
2009 as brokerfinancial
institutions
dealers are seeing decreasing
wealth management, and similarly

for the institutional sellside, says
Aziz Pirani, president and CEO of
GaleForce Solutions, which brings to
the Institutional Client Platform a
wealth of experience gained through
its work on the Microsoft Advisor
Platform. The challenge today is
that sellside sales organisations
dont know how to monetise
research by understanding how it
translates into buyside transactions.
They need to understand client
profitability and behaviour, and
client preferences. Its really about
understanding the client history,
position, preferences and
profitability, from which you can
gain insights into how you optimise
product mixes for those clients.
ffd8ffe000104a46494600010201009
600960000ffe20c584943435f50524f4
6494c4500010100000c484c696e6f02
1000006d6e74725247422058595a20
07ce000200090006003100006163737
04d534654000000004945432073524
742000000000000000000000000000
As banks become more
sophisticated as services
0f6d6000100000000d32d4850202000
operations, theyre realising that
000000000000000000000000000000
they dont have that much
consolidated information about the
000000000000000000000000000000
end user, says Gupta. As margins
000000000000000000000000000000
on institutional sales shrink because
of competitive pressure, banks need
001163707274000001500000003364
to improve the quality of every
657363000001840000006c77747074
single interaction. Different parts of
the bank deal with institutional
000001f000000014626b70740000020
clients at different touch points, but
4000000147258595a0000021800000
each salesperson wishes they could
gather all that information together
0146758595a0000022c000000146258
in one place and get a consolidated
595a0000024000000014646d6e6400
viewtechnology
of end userto achieve
then they
could
The
much
of
havealready
a rich telephone
00025400000070646d6464000002c4
this
exists forconversation
example,
with
them that
actually deals
with
rich Internet
application
technology
00000088767565640000034c000000
their issues
and problems.
such
as Silverlight
enables end
8676696577000003d4000000246c75
users to do many routine tasks
themselves that they previously had
6d69000003f8000000146d656173000
to ask salespeople to do. But until
0040c0000002474656368000004300
now, little attention has been paid
to integrating those technologies
000000c725452430000043c0000080c
into a solution that specifically
675452430000043c0000080c6254524
addresses the issues involved in
institutional client relations. Most
30000043c0000080c74657874000000
of the financial institutions within
00436f7079726967687420286329203
capital markets have some kind of
CRM, says Silvester. But as a
1393938204865776c6574742d50616
technology or application set for
36b61726420436f6d70616e79000064
traders, its still relatively in its
infancy in terms of being deployed
INCREASINGLY, BANKS 657363000000000000001273524742
or utilised. Simplifying the route
ARE TRYING TO MOVE 2049454336313936362d322e310000
through
a trade
willInstitutional
also provide a
The
vision
for the
common
basis for
information
Client Platform
is not
simply a to be
THEIR PRODUCT FOCUS, 000000000000000000127352474220
shared
across single
those tools,
making
crossproduct,
view of
the
DEDICATED SALES
the process says
considerably
CREATING 49454336313936362d322e31000000
customer,
Warford. less
Its a
arduous
for the trader.view of what
single, crossfunctional
000000000000000000000000000000
TEAMS
IAN WARFORD, EMEA INDUSTRY
the customer is doing. Thats a big
000000000000000000
DIRECTOR FOR CAPITAL MARKETS,
dream, but increasingly, as the
MICROSOFT
credit crunch bites, banks are trying

to achieve it. Indeed, for an
FEATURE
COMMUNICATION, INFORMATION, INTEGRATION

The Institutional Client Platform integrates customer relationship record for a
particular both communications and communications customer, you can see the
dates, times and information into the trading environment, duration of the last ten
phone calls. The history significantly simplifying the route through a of your
communication becomes an trade while enriching customer relationships.
Its
an extremely
launch
a more information about the state of
information
sourcesimple
in and process
of itself,to
giving
you
your phone call and talk to the customer relationship as a whole who was the last
immediately from within the Institutional person who talked to this customer, and
when? Client Platform, says IPCs Silvester. Its about Has this customer been in
frequent contact? integrating communications information, and This kind of
information is important, but the smoothly transitioning between different next step
is to relate that history to your trades communications media. For example, if a with
the customer, which highlights which trader had an instant message session running
customers are most profitable in relation to the with their customer and they want to
launch a time spent calling them. Weve already created telephone call, the
Institutional Client Platform this solution with Microsoft, and it is in use with can
enable that to be done through a single customers now. The feedback were
As the trader switches between their business at micro and macro levels that
receiving click. from them is that its giving them a view of
communications media, his or her interaction they never had before. Theyre using
the with the customer is also enriched by more information to improve their
understanding of detailed, usable information. For example, their customers and
make sure they deliver the says Silvester, when you refer to your best level of
customer service.
example of this, one only has to

look at UBS, which is turning the
focus of its investment division
towards corporate and institutional
clients while reducing the amount
of capital committed to real estate
and securitisation business.
A TIGHTLY FOCUSED TEAM
The Institutional Client Platform
team is intentionally small, involving
just four partners at this stage, each
intent on creating a truly valuable
solution. Its a very tight group,
because we wanted to focus on
ensuring quality and achieving
something
concrete
that we can
Weve
picked
the bestofbreed
later extend
outwards,
says
products
for each
area so
that we
Warford.
have
a solid story to tell, adds
Gupta. Otherwise, you can end up
with two or three products in each
class of offering, and the solution
becomes more of a marketing
exercise than a real implementation
exercise. Were really interested in
seeing this go live, rather than just
spreading the names of partners
around. Having a concrete
deliverable
is aGuide
big part
of that.
Capital Markets
Partner
2009
The calibre of the partners and their

ability to work together is an
important factor within the
partnership. Microsoft has a
significant footprint in terms of
deployed systems throughout our
customer base, so we share a
substantial mutual customer
sector, says Silvester. We can
work
together efficiently
to createisa
The Institutional
Client Platform
platform
thatofhas
true relevance to
an example
Microsofts
capital
markets
firms and their the
commitment
to demonstrating
customers.
talent it has in its own ecosystem,
and to bring together sets of skills
that address very particular market
segments, adds Pirani. The project
is
very focused
the biggestand
pain
sellside
client on
relationships
point in the market
right
nowbestoptimisation
and its
using
ofbreed solutions to address
The teams initial focus is on
this.
integrating distribution, CRM and
client analytics with the turret
system the highend telephone
system used by traders and
salespeople. Its a grand vision, but
we needed to start small, comments
Warford. We focused on the
ffd8ffe000104a4649460001020100c800c80000ffe20c58
4943435f50524f46494c4500010100000c484c696e6f0210
00006d6e74725247422058595a2007ce00020009000600
310000616373704d534654000000004945432073524742
0000000000000000000000000000f6d6000100000000d32
d485020200000000000000000000000000000000000000
0000000000000000000000000000000000000000000000
distribution or sales function of a
0000000000011637072740000015000000033646573630
brokerage firm things like how to 00001840000006c77747074000001f000000014626b7074
bring on a customer faster, CRM and 00000204000000147258595a0000021800000014675859
client analytics. Salespeople need to 5a0000022c000000146258595a0000024000000014646d
understand exactly when a customer 6e640000025400000070646d6464000002c40000008876
7565640000034c0000008676696577000003d400000024
may trade a particular foreign
6c756d69000003f8000000146d6561730000040c0000002
exchange instrument, whether its
474656368000004300000000c725452430000043c00000
quarterly or monthly. If they know
that, they can call the customer just 80c675452430000043c0000080c625452430000043c0000
080c7465787400000000436f70797269676874202863292
before they do that trade, to make
031393938204865776c6574742d5061636b61726420436f
sure they do it with them. For
6d70616e79000064657363000000000000001273524742
example, if the turret is integrated 2049454336313936362d322e3100000000000000000000
into the system, then whenever
0012735247422049454336313936362d322e3100000000
somebody
information can be 0000000000000000000000000000000000000000000000
In
additioncalls,
to coordinating
sent
throughand
to the
CRM system
and
information
simplifying
transition
the
displayed or
on process
the
fromdetails
one application
to
desktop.
the
next, were working to embed
communications into that
environment, adds Silvester. So at
each stage, from any part of the
trade cycle, if the trader wants to call
the customer they can pull
information from anywhere within
the environment to put that call
together with a single click. The
platform
embeds
communications
Clearly, each
partner
has
and communications
information
into
tremendous
respect for
the others,
the environment.
and
each plays a crucial role. Lab49
has terrific knowledge and
experience in the capital market
space, says Pirani. The turret
partners provide great
communications for their clients,
which integrate into CRM. All the
partners have deep knowledge in
this space,
andcomponents
are best of breed
The
different
in the
today. The CRM
really
provides
Institutional
Client
Platform
are a
all
point of integration
for all
these
independent
products,
adds
Gupta.
pieces.
As
a blueprint, it involves all these
products. But the bank that it goes
into may already have a lot of
existing infrastructure, and adapting
the solution for the time and place
its applied is a difficult task. You
need to know about the internal
product infrastructure and the
technology ecosystem for each
particular bank, and what pieces can
and cant be used due to compliance
or various other reasons. If there are
pieces that cant be used, you need
to know how to integrate the rest of
the solution into the existing
ecosystem, and customise it for the
needs of their particular segment of
end users, of institutional sales and
expertise.
FEATURE
STRANGE LANDSCAPE
ffd8ffe000104a46494600010201009500950000ffe20c584943435f5
0524f46494c4500010100000c484c696e6f021000006d6e747252474
22058595a2007ce00020009000600310000616373704d5346540000
000049454320735247420000000000000000000000000000f6d6000
100000000d32d485020200000000000000000000000000000000000
0000000000000000000000000000000000000000000000000000000
000001163707274000001500000003364657363000001840000006c
77747074000001f000000014626b707400000204000000147258595
a00000218000000146758595a0000022c000000146258595a000002
their IT. Legacy systems simply
nvestment management is
4000000014646d6e640000025400000070646d6464000002c400000
cant handle the volume of
an intricate business.
information from various channels
Research,
analysis,
088767565640000034c0000008676696577000003d4000000246c75
fast enough to ensure competitive
dealing,
settlement,
and
reporting
all have
to be done
trading. Indeed, according to
6d69000003f8000000146d6561730000040c0000002474656368000
correctly, and mistakes can cost
research by TowerGroup, updating
millions.
This
difficult
terrain
is
004300000000c725452430000043c0000080c675452430000043c00
or replacing legacy systems and
becoming more challenging as
improving infrastructure are key
00080c625452430000043c0000080c7465787400000000436f70797
regulations such as the Markets in
priorities for brokerage firms. Firms
Financial Instruments Directive
269676874202863292031393938204865776c6574742d5061636b61
are motivated by drivers like
(MiFID) transform the industry to a
revenue growth, regulation,
726420436f6d70616e7900006465736300000000000000127352474
global millisecond
marketplacethat
where
Every
can entrants
be
technology innovation and IT
of all sizes
compete.
shaved
off can
of the
time it takes to
management, says analyst
22049454336313936362d322e310000000000000000000000127352
Dushyant Shahrawat in
trade is a potential step ahead of
47422049454336313936362d322e310000000000000000000000000
TowerGroups report, 2007 Top 10
the competition. But the evolving
for brokerage firms: business
industry is also an unfamiliar
00000000000000000000000000000
drivers, strategic responses and IT
territory, as new exchanges enter

the market and all players develop
evermore sophisticated ways to
analyse and execute trades, and to
stay informed on the activities of
their rivals. In this intensely
competitive
landscape,
In
order to achieve
this, successful
financial
institutions
need to give
serious
navigation demands
speed
and a
thought
to
certain amount
of stealth.
priorities. One area in which firms

are seriously considering
automating processes and replacing
legacy systems is derivatives,
because enormous volumes mean
that creaking applications and
infrastructure are holding the entire
business to ransom. Revamping the
infrastructure has become a crucial
priority to support nextgeneration
trading efforts and to leverage new
approaches in technology like grid
computing, server
006d6e74725247422058595a2007ce00020009000600310000616373704d5346540000000049454320735247420000
000000000000000000000000f6d6000100000000d32d485020200000000000000000000000000000000000000000000
0000000000000000000000000000000000000000000000000001163707274000001500000003364657363000001840
000006c77747074000001f000000014626b707400000204000000147258595a00000218000000146758595a0000022c
000000146258595a0000024000000014646d6e640000025400000070646d6464000002c40000008876756564000003
4c0000008676696577000003d4000000246c756d69000003f8000000146d6561730000040c000000247465636800000
4300000000c725452430000043c0000080c675452430000043c0000080c625452430000043c0000080c746578740000
0000436f70797269676874202863292031393938204865776c6574742d5061636b61726420436f6d70616e790000646
573630000000000000012735247422049454336313936362d322e31000000000000000000000012735247422049454
336313936362d322e31000000000000000000000000000000000000000000000000000000
consolidation, and hardware optimisation.

In addition, continues Williams,
some institutions use more
Many companies are turning to
specialised automated investment
automated methods for gathering
decisionmaking: Many hedge funds
and analysing information, to enable
use quantitative models that
splitsecond responses. Automated
determine which instruments to
trade execution has been around for
trade, as well as how and when to
many years, and was traditionally
trade them. These practices are
the domain of proprietary trading
almost never used by traditional
desks in investment banks and
longonly investment managers.
specialist hedge funds, says Jean
Practitioners of automated
Williams, product business owner at
investment decisions often cite that
Asset Control. In the last few years,
their quantitative methods remove
larger brokerage houses have made
any inherent bias that is introduced
their trading algorithms available to
by manual analysis of markets, and
investment managers, usually at a
claim that their investment decisionlower cost than manually worked
making
process of
is 100
per cent
orders. Algorithms have allowed
The
popularity
automated
repeatable.
In to
practice,
the of
markets
brokers to reduce the number of
trading is due
a number
are constantly
changing
and models
active traders, but led to an
factors,
says Brian
Sentance,
chief
always need
to beofmodified.
investment in mathematically skilled
executive
officer
Xenomorph. For
analysts and programmers to
example, there are cost savings
develop and test these algorithms.
involved: why pay an expensive
As a result, investment managers
trader to manually implement
benefit from reduced execution
something that a computer can do?
costs, timely execution of larger
And once automated,
orders, enhanced trade analytics,
and compliance with regulations for
best execution and MiFID.
13
FEATURE
THE EXPONENTIAL GROWTH IN THE AMOUNT OF
DATA A FINANCIAL FIRM MUST PROCESS AND THE

SHORTENING USEFUL LIFESPAN OF ANY NEW ALGORITHM
CONTINUES TO PLACE INCREDIBLE DEMANDS ON
ANDY HUGHES, DIRECTOR OF INVESTMENT MANAGEMENT SOLUTIONS,
CAPITAL
MARKETS FIRMS
MICROSOFT
trading algorithms are commercially scalable products such as Windows HPC Server
2008
they can be made available to more users, and SharePoint Server 2007 with
Excel easily and at low cost. Services, which, when used together, can help
The technologies most widely used in the customers continue to build their
financial field of automated trading are often referred models quickly, share
them securely with to as complex event processing tools that colleagues
and trading partners, and deliver can be used by business users to define
eventcalculation scalability and fault tolerance based decision processes to
help automate across many machines containing multiple daytoday activities.
In order to automate processors. investment decision making, the
challenge Of course, trading is a contextsensitive as remains the collection of
vast amounts of data well as a timesensitive business. The from disparate
sources, the cleansing and seemingly inexorable rise of the algorithm has
validation of that data, and presenting it to a raised questions for example,
how will the proprietary algorithm for analysis, adds role of humans evolve
alongside these Williams. The quality of raw investment data technologies,
and how accurate are is rarely sufficient to support these processes
automated processes in the face of without a supplementary data
The
processing
power andevents?
delivery
significant
impact on
the roles of
human
management
unexpected
system.
Increased
automation
has
technology
already hadare
a now here to deal with the evertraders, says Williams.
Statistical testing of increasing amounts of data involved, says algorithms
is frequently undertaken and the Sentance. Trading venues are becoming
overall levels of performance are generally fragmented, as regulations such
as MiFID and superior to those of a human trader. Due to RegNMS increase
the number of venues for their investment in automated systems, trading
securities, and hence the number of brokerage houses have fewer traders
places where prices should be searched for processing orders. However,
additional best execution of a trade. In addition, the investment is usually
required in the areas of decimalisation of trading prices in the US in risk
management, audit and compliance. recent years has decreased average
trade In truth, algorithms are unlikely to transaction size but resulted in
dramatic automate people out of a job rather, the increases in the number
The
exponential
growth
in in
the
amount ofmanagement
Algorithms are
foolproof,
of transactions
human
role
investment
andnot
placed.
says
Williams.
data awith
financial
firm must process and the Unexpected events
analytics
will evolve
the technology.
will eventually occur in shortening useful lifespan of any new any market. The
best an algorithm developer algorithm continues to place incredible can do is
to try and minimise the impact of an demands on capital markets firms, says
Andy extreme situation. Hughes, director of investment management Key to
this are both rigorous testing and solutions at Microsoft. Excel has long been
talented people. Models can only be tested the standard for analysing data
and against situations that have occurred in the constructing financial
models, and Microsoft market in the past, using massive databases of has
made significant investments in new price movements going back many
years,
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0000000000000000000012735247422049454336313936362d322e310000000000000000000000000000000000
00000000000000000000
adds Williams. Consequently,

models are only as good as their
analysts, programmers and testers,
although certain market events are
often blamed on poorly
implemented models for example,
the Japanese market crash as a
result of unchecked computergenerated sell orders; or the recent
There
is still
very
muchresulting
a place for
subprime
credit
crunch
human
intuition, risk
creativity
andand
from incomplete
analysis
ingenuity
together trading
valuationsinofputting
credit securities.
ideas, says Sentance. Certainly,
there will always be new, more
complex products that will be
handled manually until they become
standardised and more mainstream.
That said, automated trading will
dominate and continue to grow
through allcontinues:
of the vanilla
products
Sentance
Some
of the
and markets.
current
issues in automated trading
include data quality, with the usual
adage that bad data means bad
decisions. Another issue is time to
market with an idea while low
latency is a key technical concern in
being fastest, how quickly a new
trading idea can be put into
production in the market is a key
concern. The usability/ease of use
with which traders can create,
simulate, backtest and deploy a
new trading model is vital in this
regard.
The points
area ofout,
backtesting
As
Williams
increased
seems to behas
underresourced
automation
resulted in at the
significant
number
of newthis
tools,
moment, and
we believe
will be
typically
solutions
that lack
a growth point
area for
technology.
integration with existing systems
and processes: Modern investment
managers must develop and
manage an architecture to support
investment operations that not only
directly addresses the

management of information assets
within the firm, but also
complements the unique workflows
of
these bestofbreed
solutions.
Sentance
believes that
automated
trading will make its mark on the
shape of the industry. There is
likely to be increased consolidation
in the broker market, as the battle
becomes a more intellectual and
technical one with stiff competition
facing those institutions that do not
have the resources and expertise
to differentiate their offerings to
clients. Additionally, through
automation, more exotic
instruments will gradually become
accessible
to a
investment
There
can be
nowider
doubt
that now is
base,
resulting
in yet more
assets
an exciting
transitional
period
for
to trade. managers, and that this
investment
is no time for them to rest on their
laurels. In recent years, the amount
of trading analysis undertaken has
grown tremendously, observes
Williams. The performance
demands placed on investment
managers requires them to access
new markets and to trade new
instruments. Although tools are
increasingly available to support the
analysis required for these
requirements, the underlying
problem still lies in accessing all the
necessary data when it is often
siloed within an organisation. This
accessibility and deployment issue
has resulted in an exponential
demand
forwas
frontoffice
focused data
This article
originally
management
solutions
published
in the
Spring that
2008can
rapidly
to new
requirements
issue
ofadapt
Finance
on Windows
as
they arise.
magazine
15
COMMENTARY
TRADING FOR PROFIT

OR TRADING TO
COMPLY?
ANDY
HUGHES LOOKS AT HOW MICROSOFT
TECHNOLOGIES CAN HELP TRADERS TO FOCUS ON WHAT

THEY DO BEST
or traders, its always been about
being creative and innovative
in unlocking value via trades based

around arbitrage, hedges and
innovative financial structures.
However, new requirements such as
US Securities Exchange Commission
(SEC) Rule 17a3 and 17a4,
Regulation NMS, risk analytics and
market reference data requirements
have all placed trade compliance in
the spotlight. The result is a need for
INNOVATION
VERSUS
COMPLIANCE
a
more holistic
and integrated
Capital markets
participants
have
approach
to regulatory
compliance
always
themselves
on being
and
riskprided
management
practices.
able to stretch and stresstest the
boundaries to unlock value via
trade arbitrage, exotic financial
structures, complex number
crunching and leadingedge use of
technology. Credit derivatives,
algorithmic trading and hedge
funds are but a few examples of
such innovation. With its focus on
efficient use and arbitrage of
economic capital, the industry has
also constantly explored new areas
for efficiency, productivity and
Based
on some
the DMA,
new TCA,
innovation,
be itofSTP,
regulatory
compliance
risk
best execution,
latencyand
or highmanagement
practices in capital
performance computing.
markets, three broad but consistent
themes can be seen to emerge
across trade lifecycle compliance:
Electronic business records
these functions assume great

relevance for the capital markets
trading lifecycle.
US SEC RULE 17A3 AND 17A4
US SEC Rule 17a3 requires brokerdealers to maintain certain records,
including trade blotters, asset and
liability ledgers, income ledgers,
customer account ledgers, securities
records, order tickets, trade
confirmations, trial balances, and a
range of employment related
documents. Rule 17a4 specifies the
manner in which the records created
in accordance with Rule 17a3 and
certain other records produced by
brokerdealers
must
be17a3
maintained.
In
combination,
Rules
and 17aIt
also specifies
the required
4 require
brokerdealers
to create
retention
periods
foreasily
theseaccessible
records.
and preserve,
in an
manner, a comprehensive record of
each security transaction they effect
and of their securities business in
general. As a result, storage and
retention policies, archiving and
retrieval, and search capabilities
have become important. All types of
existing and new electronic
communications such as email,
instant messaging (IM) and voice
mail need to be stored and handled
in aREGULATION
more structured
and integrated
US
NMS1
manner. NMS (RegNMS) includes:
Regulation
Rule 610, which addresses access to

markets
a
E
Structured and unstructured data
S
Rule 611, which provides intermarket price

priority for displayed and accessible
quotations
Market data management.

In the past, we probably would
dismiss the above as IT functions.
But in todays world,
Rule 612, which establishes minimum

pricing increments
q
p
Amendments to the jointindustry plans and

rules governing the dissemination of
market data.
Hence the need to collect, store,

analyse and report market data
becomes a critical business function.
Reg NMS broadly requires trading
centres to establish and enhance
policies, workflows and processes,
documentation, fair and nondiscriminatory access to quotations,
limit on access fees and disclosure
mechanisms for best bid or best
OTHER REGULATIONS
offers.
The European Union Markets in
Financial Instruments Directive
(MiFID) is another regulation that
focuses on best execution,
process, market data and
transparency in reporting, and
impacts
theamendments
European operations
The
recent
to the US
of capital
markets
firms.
Federal
Rules
of Civil
Procedure
(FRCP), put into effect by the
Supreme Court to govern civil
procedures in US courts, is another
related development that will alter
the way companies retain and delete
data. Broadly, the new rules focus on
being able to identify where
important data is located and
IMPLICATIONS
develop a plan for retrieving it.
Traders can expect challenges in the
way trade lifecycle information is
managed across the value chain.
Affected areas include electronic
business records, structured and
unstructured data, OMS/EMS
technology, trading systems,
quotations and market reference
data
from
a corporate
actions
Traders
typically
deal with
a large
reporting
amount ofperspective.
diverse forms of
electronic communications during a
trade lifecycle. Hence, it becomes
critical to plan for a holistic and
integrated approach to help traders
deal with these new operational
requirements for electronic business
records, structured and unstructured
data, and attempt to reduce
operational
tasks
and focus
on the
Traders
expect
simplicity,
ease
of
market
use andtrades.
integration with existing
frontoffice technology and desktop
tools while dealing with these new
operational requirements.
ffd8ffe000104a4649460001020100c800c80000ffe
20c584943435f50524f46494c4500010100000c484
c696e6f021000006d6e74725247422058595a2007c
e00020009000600310000616373704d5346540000
00004945432073524742000000000000000000000
0000000f6d6000100000000d32d48502020000000
00000000000000000000000000000000000000000
00000000000000000000000000000000000000000
00000011637072740000015000000033646573630
00001840000006c77747074000001f000000014626
b707400000204000000147258595a000002180000
00146758595a0000022c000000146258595a00000
24000000014646d6e640000025400000070646d64
64000002c400000088767565640000034c0000008
676696577000003d4000000246c756d69000003f80
00000146d6561730000040c000000247465636800
0004300000000c725452430000043c0000080c675
452430000043c0000080c625452430000043c0000
080c7465787400000000436f707972696768742028
63292031393938204865776c6574742d5061636b6
1726420436f6d70616e7900006465736300000000
00000012735247422049454336313936362d322e3
10000000000000000000000127352474220494543
36313936362d322e3100000000000000000000000
0000000000000000000000000000000
Microsofts collaborative solutions

are used by many global
organisations to create content,
influence corporate culture and
Microsofts
Financial Services group
manage change.
works with a rich ecosystem of
leading industry solution providers
to help meet the specific needs of
the capital markets industry. They
represent a powerful blend of costeffective and quickly implemented
solutions designed to help lay the
groundwork for future innovation
and success in a world of increasing
regulatory and trade compliance
requirements, so that traders can do
what they do best trade for profit
instead of unduly focusing on the
consequences of noncompliance.
COMMENTARY
T
CRM
FOR WEALTH
c
MANAGEMENT
PROFESSIONALS
MICROSOFT DYNAMICS CRM IS AN INCREASINGLY POPULAR CHOICE FOR
Two per cent increase in revenue
6070 per cent decrease in time to create

customer satisfaction reports
17 per cent increase in employee
productivity.
MANY WEALTH MANAGEMENT ORGANISATIONS WANTING TO CAPITALISE ON

NEW OPPORTUNITIES AND FACILITATE REGULATORY COMPLIANCE. HERE
ARE SOME EXAMPLES OF HOW THEY ARE USING THE TECHNOLOGY
ealth management firms are facing
new client demands and
competitive challenges. To deliver

personalised services and advice,
capitalise on new opportunities and
facilitate compliance with regulatory
requirements, firms are looking for
customer relationship management
(CRM) solutions that can help them
manage complex client relationships
in concert with business processes.
For many firms focused on wealth
management, Microsoft Dynamics
CRM is an increasingly popular
choice. To more clearly understand
how wealth management firms are
using Dynamics CRM, Microsoft
turned to IT advisory firm Mainstay
Partners for an independent
assessment. Mainstay Partners
interviewed a number of firms to
TRANEL
FINANCIAL
GROUP
identify the
measurable
benefits
they have achieved
through
Illinoisbased
Tranel Financial
deploying
Dynamics
Their
Groups
mission
was CRM.
to move
stories are
presented
in the to
beyond
customer
satisfaction
customer profiles
customer
delight,below.
fostering a
strong competitive edge. The group
needed an intuitive CRM solution
that advisors could use to quickly
capture, record and access all client
information. By delivering a full
history of interactions within
seconds, an effective CRM solution
would not only increase customer
satisfaction, but also serve as the
basis for more accurate reporting.
Dynamics CRM offered Tranel a
familiar, easytouse solution that
users
readily
adopted.
Capital Markets
Partner
Guide
2009
Since implementation, Dynamics

CRM has reduced the amount of
time financial advisors spend on
administrative tasks, freeing them to
provide better client service and
acquire new clientele. Benefits
include a 6080 per cent reduction in
time needed to create customer
reports; and 5075 per cent less time
spent preparing for clientreview
RAIFFEISENBANK KLEINWALSERTAL
meetings.
Raiffeisenbank Kleinwalsertal is
Austrias largest cooperative bank
and one of Europes most successful
financial services institutions. Before
implementing Microsoft Dynamics
CRM, advisors juggled at least five
different applications when
gathering customer information,
making
it nearly
impossibleeasily
for them
Dynamics
CRM integrated
with
to gain a unified, existing
uptodatebanking
client
Raiffeisenbanks
view.
applications,
and advisors now work
with a centralised, 360degree view
of customer data that enables them
to quickly respond to queries and
deliver advice based on accurate,
comprehensive information. The
company can also avoid noncompliance fines by meeting
Austrian Government requirements
for reporting on customer
satisfaction levels. Equally
important, advisors can now spend
more time CRM
with also
clients,
enabling
Dynamics
enables
them to uncover
business
Raiffeisenbank
tonew
measure
the
opportunities
enhancing
effectiveness while
of marketing
service.
programmes
and business
development activities.
Raiffeisenbank expects to realise
the following benefits:
contact management system

wasting time, draining profitability,
and increasing the risk of errors.
CARLSON CAPITAL MANAGEMENT

Like most wealth management
firms, Carlson Capital Management
(CCM) relies on referrals to help
grow its business, with more than
80 percent of new clients coming
To
accommodate
a growing number
from
referrals.
of client relationships while
preserving high standards of
service to existing clients, the firm
needed an efficient and effective
way of storing all client contact
information, recent
communications, portfolio data and
historical information in one
system. It needed to simplify how it
tracked client interactions, from
meetings
and phone
conversations
Since deploying
Dynamics
CRM, CCM
to referrals,
invitations,
or
has
gained aevent
360degree
view of
even ainformation
welcome gift.
client
and can efficiently
extract data, so advisors have
information when they need it. The
company is in a stronger position to
fully service clients. Any team
member can quickly access
thorough information about a client,
helping
them that
to provide
clients
with
CCM
predicts
Dynamics
CRM
whatdeliver
they need.
will
a 75 per cent decrease
in time spent on data searches, as
well as 40 per cent savings in
campaign costs.
SECURITY BENEFIT
Kansasbased Security Benefit is a
growing financial services firm with
more than 800 employees. To
expand the reach of sales efforts and
fuel growth, the company relies both
on internal staff and field sales
teams, which are spread across 40
locations and spend much of their
time at onsite client meetings. They
rely on information and updates
from the head office to prepare for
these meetings. After each client
meeting, the external team spent up
to six hours synchronising data from
their laptops to the
Security Benefit realised that

business growth depended on
peoples ability to communicate and
coordinate information quickly
across internal and external teams.
It replaced its outdated contact
management system with Dynamics
CRM, which it was able to integrate
with every area of its existing
infrastructure. Outside sales team
can now access the information
entered by head office staff, helping
them
workCRM
frombrings
the field
with
Dynamics
Security
confidence
and provide
better
Benefit
increased
agilityaand
customer experience.
improved
competitive advantage, as
well as a 50 per cent savings in CRM
system operating costs.
HGCAPITAL
European sector equity investor
HgCapital needed to provide easy
access to customer information and
contacts for employees who are
often out of the office. After
implementing Microsoft Dynamics
CRM Mobile, employees can
remotely access the information on
virtually any Webenabled device in
real time. Because of offline and
remote access, HgCapital employees
can now quickly access critical
customer information when they are
making client visits. They are also
able
to effectively
analyse
A WEALTH
OF ADVANTAGES
intermediary
relationships
andtry
deal
As wealth management firms
to
flow.
stand out in the marketplace by
improving customer satisfaction
levels and customer loyalty, they
look toward solutions that can
deliver a holistic view of the
customer and customer service
functions while being easy to
integrate into existing banking
applications. For each of the wealth
management firms interviewed by
Mainstay Partners, using Dynamics
CRM has helped them deliver
improved service, create a
customercentric approach, build
better client relationships, and gain
competitive advantage.
ffd8ffe000104a4
64946000102010
0c800c80000ffe2
0c584943435f505
24f46494c450001
0100000c484c69
6e6f021000006d6
e7472524742205
8595a2007ce000
20009000600310
000616373704d5
34654000000004
94543207352474
20000000000000
itis
suite of Lava technology products
experience in building Unixbased
00000000000000
solutions for the financial services
0f6d60001000000
industry. Mindful of expense, they
00d32d48502020
has earned a reputation for
determined that redundant PCs could
00000000000000
provide the same or better reliability
00000000000000
marketleading
performance and
as other platforms at a fraction of the
00000000000000
innovation
in one of the worlds most
cost. They decided to build Lava
00000000000000
demanding computational
solutions using
the Microsoft
00000000000000
Recently,
the team
again considered a
environments
providing realtime
Application
Platform.choices as it
00000000000000
range of technology
feeds
across multiple stock markets to
00000000001163
prepared to create a new solution to
help traders achieve the best
70727400000150
help it comply with regulations from
execution prices for their customers.
00000033646573
the US Securities and Exchange
The
suite
of
solutions
provides
real63000001840000
Commission (SEC). Regulation NMS
time
aggregated market data cross
006c7774707400
(Reg NMS) was published in June 2005
multiple
liquidity
pools
including
the
0001f0000000146
with
a heart
final phasein
required
byOrder
At
the
of Reg NMS
is the
New
York
Stock
Exchange,
Nasdaq
and
26b70740000020
October 2007.
Protection
Rule, which requires
other
major US exchanges. The Lava
40000001472585
trading firms to execute a trade
ColorBook
solution integrates the
95a00000218000
against the best bid or offer in the
feeds
from multiple liquidity pools for
000146758595a0
national market system. Reg NMS
000022c0000001
display
on a singlescreen montage to
also requires that trading firms be
46258595a00000
give
clients an integrated direct
24000000014646
able to demonstrate to investors that
market
access (DMA) solution. Before
d6e64000002540
the best price was given. Compliance
this,
traders accessing multiple
0000070646d646
requires the capture and storage of
markets
had separate, nonintegrated
4000002c400000
vast data sets, so that in the event of
systems
sitting on their desk. The
08876756564000
a query, a trader can recreate pricing
Lava
ColorMaker solution builds
0034c000000867
for any this
given
stock started
across all
marketmaking capabilities on top of
When
project
weequity
really
6696577000003d
pools at
the consider
exact time
the trade was
ColorBook by integrating price
didnt
even
Microsoft
4000000246c756
executed.
discovery,
direct access and quote
because providing Reg NMS
d69000003f80000
management
into
a
single
application.
compliance is so demanding, adds
00146d65617300
Pioneers
in creating DMA solutions,
Rocco Mangino, Citis senior vice
00040c00000024
the
Lava technology team prides itself
president of product development for
74656368000004
Solution
in
having been the first to provide
300000000c7254
Lava technology. We were looking at
Tick
Store
Reg
NMS
solution
access
to all the US market centres.
52430000043c00
specialised solutions that had been
When
the team created its first
00080c67545243
created specifically for tick storage
Benefits
0000043c000008
solutions,
its technical
architects
had
and retrieval, but they were very
Competitive
advantage
performance;
0c625452430000
reduced compliance query response times; Among
expensive,
and
would
have the
required
those
who
believed
043c0000080c74
agility to meet customer needs; scalability; Microsoft
our obtaining
new skill
sets to deploy
Application
Platform
could
65787400000000
lowest TCO
and manage.
support
Reg NMS compliance was Ann
436f70797269676
Neidenbach, managing director at
87420286329203
Technologies
Citi. The requirements were
13939382048657
Microsoft Application Platform including
extraordinary processing what has
76c6574742d506
Microsoft SQL Server 2005
now grown to more than 200,000
1636b617264204
Partner
updates per second across more than
36f6d70616e7900
Microsoft
00646573630000
100 million rows while supporting
www.microsoft.com
00000000001273
query responses of less than two
52474220494543
seconds, says Neidenbach. The
36313936362d32
development team simply didnt think
2e310000000000
SQL Server could do it, but Id seen
00000000000012
how SQL
73524742204945
4336313936362d
322e3100000000
00000000000000
00000000000000
CITI
ffd8ffe000104a46494600010201009600960000ffe20c584943
Server had worked for Nasdaq and
435f50524f46494c4500010100000c484c696e6f021000006d6e
believed that it could.
74725247422058595a2007ce00020009000600310000616373
A comparison of possible solutions
was
evaluated to determine which 704d5346540000000049454320735247420000000000000000
000000000000f6d6000100000000d32d4850202000000000000
technology platform best met the
00000000000000000000000000000000000000000000000000
requirements for creating a Reg NMS
00000000000000000000000000000000011637072740000015
solution that could keep up with peak
00000003364657363000001840000006c77747074000001f000
demands exceeding 200,000
000014626b707400000204000000147258595a000002180000
messages per second, and that could
00146758595a0000022c000000146258595a00000240000000
scale into the future to keep up with
14646d6e640000025400000070646d6464000002c400000088
the rapid
in equities
trading.
We
held growth
a bakeoff
against other
767565640000034c0000008676696577000003d4000000246c
technology vendors and Microsoft
won
756d69000003f8000000146d6561730000040c0000002474656
368000004300000000c725452430000043c0000080c67545243
on performance, says Hays. The
bonus was that it was the lowest0000043c0000080c625452430000043c0000080c74657874000
cost
00000436f70797269676874202863292031393938204865776c
solution and provided better flexibility
6574742d5061636b61726420436f6d70616e790000646573630
as well.
Citis
Lava technology group
developed its Reg NMS solution, 000000000000012735247422049454336313936362d322e310
called
00000000000000000000012735247422049454336313936362
the Tick Store, using SQL Server 2005
d322e310000000000000000000000000000000000000000000
Enterprise Edition (64bit) running on
00000000000
the Windows Server 2003 operating
system. Tick Store includes some 70
terabytes of data stored in zipped flat
files, each holding one days data from
one trading system. The solution
grows by about 30 gigabytes per day,
adding a terabyte of historical data
every 33 days or so. It is hosted on an
HP ProLiant DL585 server computer
with eight
64bit
AMDNMS
Opteron
When
fielding
a Reg
query about
processors
32 gigabytes
of RAM.
pricing,
theand
relevant
data is imported
from the flat files into the SQL Server
relational environment of the Tick
Stores database. The Tick Store
includes a key that associates the
order routing with the market data.
We can regenerate any past day
from the archive, using the order
Database relational environment,
compliance query response times
number and time of execution linked
have gone from hours to less than a
to the historic data, says Doug
second. The solution also provides the
Leyens, vice president of product
agility to meet internal and customer
development
for Lava
Building
the Tick
Storetechnology
using the at
needs, scalability to match trading
Microsoft
Application
has
Citi. We can
recreatePlatform
the exact
growth, and the lowest total cost of
enhanced
performance
well point
that in
market montage
for anyso
given
ownership of any solution that Citi
the Lava technology team values it as
time.
SQL
lookedServer
at. has continued to scale to
a competitive advantage. With Tick
meet our needs, says Neidenbach.
Store support for pumping historical
And we see no end in sight for that
data, as needed, into the Tick
scaling.
21
ffd8ffe000104a46
49460001020100c
800c80000ffe20c5
84943435f50524f4
6494c4500010100
000c484c696e6f02
1000006d6e74725
247422058595a20
07ce00020009000
600310000616373
704d53465400000
000494543207352
474200000000000
000000000000000
00f6d60001000000
lobal
financial services provider
00d32d485020200
000000000000000
Raymond
James Financial found it
000000000000000
000000000000000
challenging
to share business and
000000000000000
customer
information with its
000000000000000
advisors,
80 per cent of whom are
000000000000000
independent
contractors operating
000116370727400
remotely.
IT management was
000150000000336
decentralised;
software standards
465736300000184
were
not enforced, and contract
0000006c7774707
advisors
4000001f00000001
were free to install the tools
4626b7074000002
they
preferred. Indeed, the company
040000001472585
estimates
that at one time, more than
95a000002180000
2,500
different thirdparty databases
00146758595a000
were
in use. Our contractors are all
0022c0000001462
over
the country all independent and
58595a000002400
saving
information on their hard
0000014646d6e64
drives,
says Mike Shelly, vice
000002540000007
0646d6464000002
president
of business technology
c40000008876756
management
for Raymond James.
5640000034c0000
But
they were not backing up their
008676696577000
data.
It was really almost a corporate
003d4000000246c
failure
in terms of what customer
756d69000003f800
relationship
management (CRM)
0000146d6561730
meant
to Raymond James. The
000040c00000024
746563680000043
company
recognised that the
00000000c725452
disconnected
information systems
430000043c00000
were
having a negative impact on
80c675452430000
customer
service. Client calls and
043c0000080c6254
other
information were not tracked
52430000043c000
efficiently,
resulting in discrepancies
0080c7465787400
Solution
in
information among the branches.
000000436f707972
Integrated
CRMneeded
solutionto better
696768742028632
The
main office
920313939382048
understand
Benefits its relationship with all of
65776c6574742d5
the
branch offices
Improved
efficiency across branch offices;
061636b61726420
easy user adoption; enhanced customer
436f6d70616e7900
service; enables compliance
006465736300000
000000000127352
Technologies
474220494543363
Microsoft Dynamics CRM 3.0, Microsoft
13936362d322e31
Office Outlook 2007
000000000000000
000000012735247
Partner
422049454336313
Microsoft Services
936362d322e3100
www.microsoft.com
000000000000000
000000000000000
000000000000000
0000000
RAYMOND JAMES FINANCIAL
before it could view the big picture

of how Raymond James managed
its customer relationships.
Our challenge as a global firm is to
maximise our branch efficiency by
providing the right tools for our
financial advisors, says Shelly. With
so many different databases, we
lacked information sharing. We knew
we had to get the branches the ability
to access one
system
for it
greater
Raymond
James
realised
needed to
efficiency.
offer
a CRM solution that could
seamlessly integrate with its advisors
existing systems while improving
datatracking capabilities and providing
insights that would enhance customer
service. But because the deployment
was an optin programme, the
company also knew that any standard
it adopted would have to be a very
compelling product one that
promoted
easyJames
user adoption
while
The
Raymond
deployment
team
providing
tangible
benefits
advisors
worked
with
advisors
in theto
field
to
in thea field.
gain
sense of the work patterns and
preferences that would influence their
acceptance of a CRM solution. In an
effort to increase enthusiasm and
facilitate adoption in the field, the
company kept these advisors informed
and involved
throughout
theseveral
Raymond
James
considered
deployment
process.
CRM
programs
including OnDemand,
ACT, GoldMine Enterprise, Pivotal and
SalesLogix, before choosing Microsoft
Dynamics CRM for its flexibility,
adaptability and affordability. In
addition, because Dynamics CRM was
designed to partner with applications
based on the Microsoft Office system,
it was easy for Raymond James to
integrate the solution with its own
corporate technology systems. In the
field, where most advisors were
already familiar with Microsoft
technologies,
the Microsoft
consistentOffice
interface
Integration with
made Dynamics
CRM a
comfortable
Outlook
was critical,
says
Shawn fit
for users.
Tabor,
technology product manager
for Raymond James
Financial. All of our branch users

open Outlook every day, and thats
the tool theyre comfortable with.
In addition, support for mobility,
including remote access to customer
data from portable devices and online
or offline functionality, helped
Microsoft Dynamics CRM mesh
seamlessly
with the way
the advisors
The implementation
process
was
work. by the technical help of
backed
Microsoft Services, but the overall
system integration was primarily
managed by Raymond Jamess own
fivemember development team. I
think it speaks well to the tool as a
whole that something so complex as
integration, and as potentially difficult
to do,
could be handled
by our own
To
accommodate
the geographically
internal staff,
remarks
department found that the
dispersed
locations
and Tabor.
to encourage
comprehensive client documentation
adoption by remote users, Raymond
captured by Dynamics CRM adds
James developed a virtually silent
greater evidence in litigation
deployment and accomplished it with
situations. Being able to store all of
minimal interruption to the users.
our advisors data in one centralised
The silent installation really paid off
location is great, says Shelly. With
for us in a big way, explains Tabor.
all of our client data in one spot,
We simply place a link to the
Dynamics CRM is able to help us with
installation package on a navigation
Looking
ahead, Raymond James is
compliance.
console that we provide to all our
promising quarterly releases of new
advisors. Dynamics CRM is available
features and functionality to the
alongside all of our other standard
existing system, including business
applications.
couldnt
be easier for
intelligence tools. The company
Advisors
can It
now
use customisable
the peopledashboards
in the field.
expects that these updates will
onscreen
to access
provide additional value to the
meeting notes, sales reports,
independent advisors and further
forecasts, and other customer data,
stimulate adoption
across
while the notes pane feature provides
Raymond
James also
hopesthe
to many
launch
branches.
an intelligent way to record freeform
Dynamics CRM within its home office
information about customers and
headquarters. Deploying Dynamics
opportunities. This improves the user
CRM to our home office, in addition
experience by automatically attaching
to our field offices, will not only give
date and userstamped tags to create
financial advisors a 360degree view,
a chronological record of information
but also a tool that really becomes a
during athe
customer
interaction,
hub, says Tabor. This ties all our
During
implementation,
Raymond
James
discovered
that the data
meeting
or other situation.
ffd8ffe000104a46494600010201009600960000ffe20c584943435f50524f46494c4500010100000c484c696e6
systems together, giving a focal point
tracking functions from Dynamics CRM
f021000006d6e74725247422058595a2007ce00020009000600310000616373704d534654000000004945432
for data entry and actionable
also applied to processes for other
0735247420000000000000000000000000000f6d6000100000000d32d4850202000000000000000000000000
activities. And at our home office, it
roles throughout the organisation. For
0000000000000000000000000000000000000000000000000000000000000000000000011637072740000015
will help us understand our
example, its legal
00000003364657363000001840000006c77747074000001f000000014626b707400000204000000147258595
relationship with the branch users to
a00000218000000146758595a0000022c000000146258595a0000024000000014646d6e64000002540000007
really understand the big picture.
0646d6464000002c400000088767565640000034c0000008676696577000003d4000000246c756d69000003f8
000000146d6561730000040c0000002474656368000004300000000c725452430000043c0000080c67545243
0000043c0000080c625452430000043c0000080c7465787400000000436f70797269676874202863292031393
938204865776c6574742d5061636b61726420436f6d70616e790000646573630000000000000012735247422
049454336313936362d322e31000000000000000000000012735247422049454336313936362d322e3100000
0000000000000000000000000000000000000000000000000
ffd8ffe000104a4
64946000102010
n conducts research for
0c800c80000ffe2
0c584943435f505
24f46494c450001
institutional investors on
0100000c484c69
6e6f021000006d6
e7472524742205
8595a2007ce000
environmental,
social and corporate
20009000600310
000616373704d5
34654000000004
governance
(ESG) risks. Based in
94543207352474
20000000000000
Sydney,
the company evaluates the
00000000000000
0f6d60001000000
00d32d48502020
risk
profiles of Australian companies
00000000000000
egna
REGNAN
00000000000000
00000000000000
largely
through sources of public
00000000000000
00000000000000
00000000000000
information,
before feeding its
00000000001163
70727400000150
conclusions
to fund managers who use
00000033646573
63000001840000
006c7774707400
the
research to make investment
0001f0000000146
26b70740000020
40000001472585
decisions. Regnan was formerly part of
95a00000218000
000146758595a0
000022c0000001
the
Westpacowned BT Financial Group,
46258595a00000
24000000014646
d6e64000002540
where
it relied on the groups
0000070646d646
4000002c400000
infrastructure
for its complex
08876756564000
0034c000000867
6696577000003d
information
gathering and storage
4000000246c756
d69000003f80000
00146d65617300
needs.
However, in early 2007 the
00040c00000024
74656368000004
300000000c7254
company
was spun off from its parent,
52430000043c00
00080c67545243
forcing
it to rebuild its IT environment
0000043c000008
0c625452430000
043c0000080c74
from
scratch at a new location. Sitting
65787400000000
436f70797269676
87420286329203
within BT Financial Groups IT
13939382048657
76c6574742d506
1636b617264204
environment
was a very comfortable
36f6d70616e7900
00646573630000
00000000001273
place
for us, says Nicholas Brischetto,
52474220494543
36313936362d32
manager
for corporate governance at
2e310000000000
00000000000012
73524742204945
Regnan.
If we needed support, we
4336313936362d
322e3100000000
00000000000000
just
had to raise our hands and
00000000000000
that the latest CRM software from

Microsoft could prove ideal. It
recommended Brischetto get in touch
with Microsoft Gold Certified Partner
JayThom.
Regnan engaged JayThom to install,
integrate and host Microsoft Dynamics
CRM and Windows SharePoint
Services 3.0 for the new site. Windows
SharePoint Services 3.0 gave
Regnans staff access to the
companys document libraries, email
accounts and
CRM
system
through
JayThom
sorted
out
everything
we a
single portal.
needed
in about two weeks
desktops, laptops, Internet access, email, Dynamics CRM and Windows
SharePoint Services 3.0, says
Brischetto. Rather than forcing
everyone to work in a different way
overnight, were introducing new
features gradually so people get used
to them. For instance, we have
retained the old hierarchical folder
system until
become
more
According
to staff
JayThoms
managing
familiar with
Office
director
Brettusing
Yorgey,
the SharePoint
most crucial
document
libraries.
aspect of the
project was the
integration of Dynamics CRM with
Windows SharePoint Services 3.0.
The integration means Regnan now
has one central repository where all
its staffits
canallview,
access anyone
and act can
on
Since
integrated,
the same
he says.
edit
thesedata,
documents
within Microsoft
Office Outlook, and some areas of it
can be accessed through Windows
SharePoint Services 3.0, adds
Brischetto.
Regnan pays a monthly fee to
JayThom to host its new
infrastructure, an approach that
meant the company did not have to
spend
a lot
of cash upfront
to installis
The
new
integrated
IT environment
its own server.
transforming
the way Regnan
interacts with its clients and partners.
A clear benefit has been the ability to
organise research more effectively.
For instance, Regnan can file
documents within the CRM system
under a variety of tags, which makes
it much easier to locate its research.
The ability to cross
006d6e74725247422058595a2007ce00020009000600310000616373704d5346540000000049454320735247420000
000000000000000000000000f6d6000100000000d32d485020200000000000000000000000000000000000000000000
0000000000000000000000000000000000000000000000000001163707274000001500000003364657363000001840
000006c77747074000001f000000014626b707400000204000000147258595a00000218000000146758595a0000022c
000000146258595a0000024000000014646d6e640000025400000070646d6464000002c40000008876756564000003
4c0000008676696577000003d4000000246c756d69000003f8000000146d6561730000040c000000247465636800000
4300000000c725452430000043c0000080c675452430000043c0000080c625452430000043c0000080c746578740000
0000436f70797269676874202863292031393938204865776c6574742d5061636b61726420436f6d70616e790000646
573630000000000000012735247422049454336313936362d322e31000000000000000000000012735247422049454
336313936362d322e31000000000000000000000000000000000000000000000000000000
categorise companies and issues or

even multiple issues has added
flexibility to the way we file things,
The
mechanism in Dynamics
saystagging
Brischetto.
CRM overcame the problem of
important research documents or
going
missing
correspondence
for instance, due
to staff
forgetting
where they were saved. The
improved system of research
organisation also means there is less
chance of the wrong document being
Because
technologies
attached the
to an
email sent are
to clients.
integrated, research housed in the
CRM system is easily accessed while
the user is working in Microsoft
applications such as Office Outlook.
The Microsoft technology has also
enabled Regnan to be more
professional in its dealings with
clients. In the past, when a client
asked for research on a particular
issue we had to collate information
manually from different locations to
pull together a report, says
Brischetto.
Generating
is now
With a single
click, staff reports
can transfer
a
much simpler
and
document
from
an quicker.
incoming email to a
suitable location within the CRM
system. Furthermore, each staff
member now has instant access to a
historical record of correspondence
with every customer on any topic.
Anyone in Regnan can record their

communication with clients centrally
using the Track in CRM button
located in each users email folder,
says Yorgey. So whoever takes the
next call from that client is up to date
with all past correspondence, and can
respond
in a wellinformed
The
integrated
Microsoft way.
environment means we can
accomplish our core work more
quickly and professionally, says
Brischetto. For an information
business like ours, nothing could be
more essential.
Solution
Integrated Microsoft environment
for knowledge and data storage
and customer engagement
Benefits
Improved organisation; improved
security; enhanced customer
service; faster response
Technologies
Microsoft Dynamics CRM,
Windows SharePoint Services
3.0
Partner
JayThom
www.jaythom.co
m.au
25
ffd8ffe000104a46
49460001020100c
800c80000ffe20c5
84943435f50524f4
6494c4500010100
000c484c696e6f02
1000006d6e74725
247422058595a20
07ce00020009000
600310000616373
704d53465400000
000494543207352
474200000000000
ounded
in 1851, Reuters is perhaps
provides the foundation of the
000000000000000
00f6d60001000000
Webbased environment that
00d32d485020200
supports the Knowledge service.
best
known
as
the
worlds
largest
000000000000000
The financial research data gathered
000000000000000
by Knowledge includes documents
000000000000000
international
multimedia news agency,
from more than 900 sources including
000000000000000
yet
more than 90 per cent of its
the worlds leading brokerage firms,
000000000000000
revenues come from its offerings for
000000000000000
investment banks, market research,
the
financial services industry. In 2003
000116370727400
and independent research providers.
the
company
purchased
Multex,
a
000150000000336
The financial research historical
financial
research and information
465736300000184
database contains more than nine
service,
and renamed it Reuters
0000006c7774707
million fulltext reports covering over
Research.
4000001f00000001
Reuters Research then
25,000 companies that span 100
4626b7074000002
launched
Reuters Knowledge, a Webcountries and 23 languages. As well as
040000001472585
based
financial information delivery
95a000002180000
this the company fundamentals
system,
which supplies realtime and
00146758595a000
database contains information on
historical
equity, fixed income and
0022c0000001462
about 50,000 companies, and the
economic
research from the worlds
58595a000002400
earnings estimates database has
leading
analysts to investors all over
0000014646d6e64
information on more than 25,000
the
globe. Using SQL Server as a
000002540000007
companies. All of this financial data is
0646d6464000002
foundation
for the system has
c40000008876756
stored on 231 unique databases with
provided
the company with efficient
5640000034c0000
more than 500 instances of replicated
data
replication used for populating a
008676696577000
databases, including backup and
secondary
data
centre,
backup
copies,
003d4000000246c
working copies. These databases are
and
specialpurpose
clusters;
high
756d69000003f800
located on some 150 computers using
availability;
troublefree administration
0000146d6561730
SQL Server, with locally attached
using
SQL Server Enterprise Manager;
000040c00000024
storage holding 25 terabytes. For the
746563680000043
and
an easy upgrade path. When
00000000c725452
financial
SQL
Reuters
Knowledge was launched the
The basicresearch
multitierdocuments,
architecturethe
of the
430000043c00000
Server
databases
include
pointers to
company
needed a system that would
system
is
replicated
symmetrically
80c675452430000
the
documents
stored in PDF
and
support
its needs, which included:
(with
specific exceptions)
at the
043c0000080c6254
other
formats
on data
file servers
efficient
data replication; high
companys
main
centre holding
at 75
52430000043c000
about
ten terabytes
ofwith
disk its
space.
availability
and disaster recoverability;
0080c7465787400
Park Place,
New York,
easy
administration to support the
000000436f707972
secondary data centre in Nutley, New
Solution
696768742028632
dynamic
nature of the industry;
Jersey. SQL Server has met the
Relational database
management
920313939382048
upgradeability;
and scalability.
Thesystem companys expectations and is
65776c6574742d5
solution,
which was found in Microsoft
providing a number of added benefits
Benefits
061636b61726420
SQL
Server,
including
flawless
Flawless
replication; high availability and All
components
of replication,
the Reutersand high
436f6d70616e7900
disaster recoverability; easy administration;Knowledge
availability and
disaster
recoverability.
006465736300000
service
production
000000000127352
upgradeability; scalability
infrastructure are designed with
474220494543363
disaster recovery in mind. We
Technologies
13936362d322e31
guarantee up to 99.9 per cent
Microsoft
SQL
Server;
Windows
Server
000000000000000
availability for the interactive decision
000000012735247
Partner
support systems, which is something
422049454336313
Microsoft
considering the complexity of our
936362d322e3100
www.microsoft.com
000000000000000
environment with 150 servers running
000000000000000
more than 700 instances of SQL
000000000000000
Server databases, and terabytes of
0000000
REUTERS
information, Meikson says. SQL

Server has never let us down.
ffd8ffe000104a46494600010201009500950000ffe20c584943
435f50524f46494c4500010100000c484c696e6f021000006d6e
Prior to opening its data centre in
74725247422058595a2007ce00020009000600310000616373
Nutley, both of the companys data
704d5346540000000049454320735247420000000000000000
centres were in the financial district
of
000000000000f6d6000100000000d32d4850202000000000000
Manhattan, with the primary data
00000000000000000000000000000000000000000000000000
centre located a block away from
the
00000000000000000000000000000000011637072740000015
twin towers of the World Trade Center.
00000003364657363000001840000006c77747074000001f000
When the World Trade Center was
000014626b707400000204000000147258595a000002180000
00146758595a0000022c000000146258595a00000240000000
destroyed on 11 September 2001,
14646d6e640000025400000070646d6464000002c400000088
Reuters
Research
We couldnt
evenlost
get power
accesstotoboth
the of
its data centres.
buildings
for three days, says 767565640000034c0000008676696577000003d4000000246c
Meikson. When we finally got a 756d69000003f8000000146d6561730000040c0000002474656
368000004300000000c725452430000043c0000080c67545243
generator into our secondary data
0000043c0000080c625452430000043c0000080c74657874000
centre on Williams Street, all we had
00000436f70797269676874202863292031393938204865776c
to do on the SQL Server side was6574742d5061636b61726420436f6d70616e790000646573630
reconfigure the backup SQL Servers
as
000000000000012735247422049454336313936362d322e310
master SQL Servers and we were00000000000000000000012735247422049454336313936362
up
and running again. It was
d322e310000000000000000000000000000000000000000000
unbelievable, and I say that because
I
00000000000
have 20 years of experience as a
database administrator working with
DB/2, Sybase, and other products, and
Ive experienced so many lesser
disaster recovery efforts where things
wouldnt
up as
theyoutage
were
Two
yearscome
laterback
a major
power
supposed
to. Soofwe
were
all very
affecting much
the
US Northeast
pleased
with the
recovery
capability
of
and
Midwest,
from
New York
to
SQL Server.
Canada,
and as far east as Detroit,
made headlines around the world.
Again we saw the excellent
recoverability of SQL Server, says
Meikson.Research
It is extremely
Reuters
is at theresilient.
hub of a
dynamic industry where agility is
required to quickly respond to new
market opportunities. Meiksons long
experience as a database
administrator made him keenly aware
of the need for a database
management system that was easy to
administer something he has found
with SQL Server and the SQL Server
Enterprise Manager,
provides
a
Enterprise
Manager which
provides
a
centralised
workspace for
managing
Microsoft Management
Console
all
of our databases,
Meikson says.
compliant
user interface.
with I had to memorise long command
The draganddrop functionality of the
line sequences. With Enterprise
graphical user interface is extremely
Manager you can just click away. It
efficient and easy to work with. With
provides a nice and easy way to
other database products Ive worked
accomplish what you need to do.
27
homso
ffd8ffe000104a46
n Financial provides
494600010201009
600960000ffe20c5
84943435f50524f4
information and technology
6494c4500010100
000c484c696e6f02
1000006d6e74725
247422058595a20
solutions
to the worldwide financial
07ce00020009000
600310000616373
704d53465400000
community.
One of its most popular
000494543207352
474200000000000
there is for error, which could
000000000000000
products
is the Thomson Financial
expose the customer to financial
00f6d60001000000
00d32d485020200
loss, says
Bremner.management firm
Chicago
investment
000000000000000
Portia,
a portfolio management
Segall Bryant & Hamill uses Portia
000000000000000
extensively. Portia is a powerful
000000000000000
product, and weve used it since our
000000000000000
system, which is used daily by many
companys inception in 1994, says
000000000000000
000000000000000
Russ Martin, senior financial systems
000116370727400
architect for the company. But its a
customers
to manage more than
000150000000336
little intimidating when you first
465736300000184
encounter it. It doesnt follow the
0000006c7774707
US$15 trillion in assets. Because Portia
software
standards
that
It took several
weeks
forpeople
new are
4000001f00000001
used to seeing
today, such
asintoolbars
employees
to become
fluent
using
4626b7074000002
and buttons.
040000001472585
Portia,
and Martin found himself
was
written 20 years ago as a menu95a000002180000
dealing with numerous support calls as
00146758595a000
even experienced users had trouble
0022c0000001462
driven system, tasks often required
with infrequently used tasks such as
58595a000002400
importing portfolio data for new
0000014646d6e64
clients. Our portfolio administrators
000002540000007
multiple
steps and frequent human
had to sit down with a paper manual
0646d6464000002
c40000008876756
and navigate very involved
5640000034c0000
intervention.
As the pace of financial
procedures, he says. It could take up
008676696577000
to two hours to set up one new client.
003d4000000246c
When
we werepartner,
looking at
growing the
As
a Microsoft
Thomson
756d69000003f800
markets
has quickened, our customers
business,
this was
a major
obstacle.
Financial used
Microsoft
technologies
0000146d6561730
000040c00000024
to refresh Portia, keeping its
746563680000043
dont
have the time or patience to
functionality while simplifying its use.
00000000c725452
When we saw the new workflow and
430000043c00000
presentation technologies built into
80c675452430000
click
through multiple menus to
Microsofts
043c0000080c6254
ffd8ffe000104a46494600010201009600960000ffe20c584943435f50524f46494c45000101
52430000043c000
00000c484c696e6f021000006d6e74725247422058595a2007ce0002000900060031000061
0080c7465787400
accomplish
routine tasks such as
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000000436f707972
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696768742028632
0000000000000000000000000000000000000000011637072740000015000000033646573
920313939382048
running
a report, explains Christy
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65776c6574742d5
00000218000000146758595a0000022c000000146258595a0000024000000014646d6e6400
061636b61726420
00025400000070646d6464000002c400000088767565640000034c00000086766965770000
436f6d70616e7900
Bremner,
global managing director of
006465736300000
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000000000127352
300000000c725452430000043c0000080c675452430000043c0000080c625452430000043c
474220494543363
the
Portia Business Unit at Thomson
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13936362d322e31
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000000000000000
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000000012735247
Financial.
We wanted to support the
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optimisation
of our customers
000000000000000
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0000000 and let them customise the
workflows
THOMSON FINANCIAL
software to meet the needs of

different users. By giving customers
latest development environment, we

realised how much faster we could
do this job than even a year ago,
says Bremner. It would have taken
us five times longer to do this job
It
tookother
just six
months to create Portia
using
technologies.
Workspace, the new graphical,
workflowenabled interface to Portia.
Now, customers can easily automate
the features and functions that they
use on a regular basis. They can add
buttons for tasks such as adding a
transaction, security, or switching
between applications, and can then
use these buttons to move quickly
through the old menu system. To
create a workflow, users simply link
buttons, and the software automates
both the human
steps,
Investment
firmsand
cansystem
configure
the
such
as running
a nightlycategories
transaction
workspace
for particular
of
batch. and individual users can further
users,
configure their desktops to their
needs. Operations staff use the new
software to easily monitor system
activities such as process and
workflow
A
diverseperformance.
group of people with very
different needs use this software in
our organisation, explains Martin.
Its very useful for them to customise
Portia Workspace to do their individual
jobs better. As we grow our business,
we have to make our current staff as
efficient as we can. The previous twohour process of setting up a new client
should now take just 30 minutes or
less.
This
is the kind
efficiency
Martin
estimates
thatofusers
will begain
up
that running
will allow
us toaeasily
and
within
week,handle
versus the
growth.
three
to four weeks currently
required. Using the new software,
our users should be able to automate
many steps that used to require their
involvement,
Martin
and his he
staff
says.
will also be able to
reduce development time on new
projects. We write a lot of custom
software to create reports and other
financial tools, which often needs to
pull information from Portia, he says.
Now, our
developers can take advantage of the

automated workflows to simplify
coding
As
oneefforts.
of the companys central
information systems, the accuracy of
Portias data has a tremendous
impact on the business as a whole,
Martin says. A seemingly minor
mistake can affect everyone from
portfolio managers to operations staff
and can lead to trading errors,
incorrect portfolio returns, or even the
need to regenerate client statements.
With such high stakes, we do
everything we can to ensure data
accuracy. With this new software, we
have a very effective tool in meeting
these demands.With existing
customers such as Segall Bryant &
Hamill eagerly embracing the new
efficiencies they are discovering with
Portia Workspace, Thomson Financial
is busy winning new customers with
the software. Portia Workspace is
helping us win new business because
of its innovative approach to
optimising user experience, says
Bremner. People want to use Portia.
Weve increased our pipeline of new
leads and are more competitive.
Solution
Nothing
else on the market comes
Refresh
of products
Thomson Financial
close
to this
ability toPortia
portfolio workflows.
management system
customise
Benefits
Increased productivity from automated
workflows; increased data accuracy; new
business from more competitive products
Technologies
Microsoft .NET Framework 3.0; BizTalk
Server 2006; SQL Server 2005; Visual Studio
2005; Windows Server 2003 Standard
Edition
Partner
Thomson Financial
www.thomson.com/financial
enomorp
ffd8ffe000104a46
h delivers real49460001020100c
800c80000ffe20c5
84943435f50524f4
time
analytics
and data
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000c484c696e6f02
1000006d6e74725
247422058595a20
management
solutions to financial
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600310000616373
704d53465400000
markets.
With offices in London and
000494543207352
474200000000000
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New
York, its customers are
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investment
banks, hedge funds and
000000000000000
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asset
management institutions across
000000000000000
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the
worlds financial centres. They use
000150000000336
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Xenomorphs
sophisticated TimeScape
4000001f00000001
4626b7074000002
040000001472585
technology,
a realtime analytics and
95a000002180000
00146758595a000
0022c0000001462
data
management suite, to accelerate
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0000014646d6e64
000002540000007
trading
decisions and reduce risk. This
0646d6464000002
c40000008876756
5640000034c0000
technology
manages growing volumes
008676696577000
003d4000000246c
756d69000003f800
of
increasingly complex data within
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trading
and risk management, making
00000000c725452
430000043c00000
it80c675452430000
immediately available wherever and
043c0000080c6254
52430000043c000
0080c7465787400
however
they wish to analyse it. In
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696768742028632
920313939382048
order
to meet the industrys extensive
65776c6574742d5
061636b61726420
436f6d70616e7900
performance
needs in the
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474220494543363
management
and analysis of market
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data,
Timescape was built on
422049454336313
936362d322e3100
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proprietary
timeseries database
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technology.
But today, financial
XENOMORPH
technology vendors such as

Xenomorph are experiencing a push
performance to trading data

standards. SQL Server hosts the
Microsoft .NET Framework Common
Language Runtime (CLR) and this
helps to ensure that programmers
can work more efficiently by using an
enhanced database programming
Xenomorph
is confident that the
model.
TimeScape solution running on SQL
Server 2008 offers more than just the
high performance traders, risk
managers and IT staff require. The
new features in SQL Server 2008 also
provide extensive database
management functionality, expected
to increase productivity within IT
departments, as well as advanced
features that help the business to
comply with strict data transparency
regulations. Even before the
products release on SQL Server,
Xenomorph customers have
expressed significant interest in the
solution,
has
the potential
Not onlywhich
can we
effectively
host to
our
reverse preconceptions
of standardsdatabase
inside SQL Server,
it
based
databases
in the
financial
becomes
a very high
performance
industry.
repository for timeordered, timeseries
data, says Sentance. It means the
data is exposed in a manner that our
customers are familiar with and can
easily manage inhouse, which is
something that would be more difficult
with
competitor
solutions.
To
prove
its performance
levels,
Xenomorph and Microsoft conducted
tests to benchmark the SQL Server
2008 solution on databases of up to
8.5 terabytes of market data,
numbering half a trillion individual
ticks of data. Sentance explains: With
data volumes rising, we need to come
to market with credible figures to gain
the confidence of the industry and our
existing customers. A database that
handles half a trillion ticks is large
enough to meet many of our
customers needs and we are
confident
that theywant
will be
impressed
Our customers
very
clear
by the solution were offering on SQL
Server 2008.
information about the performance of

managers will still see the same
our solution, and in this regard we
financial instruments, performance
decided for this first benchmark to test
levels and execution speeds to which
random access to tick data physically
theyre accustomed, but customers
stored on disk and not held in
IT teams can expect to experience a
memory. We aimed for timeseries
significant difference. The standardsperformance that was at least an
based technology helps to ensure
order of magnitude better than
that company administrators can now
traditional rowbased solutions and
handle management of the database
comparable to our existing proprietary
without having to rely on specialist
database solution. I am pleased to say
development teams. Our clients feel
we achieved this with our SQL Server
that their developers will be able to
2008 implementation, which
spend more time focusing on valueadditionally offered very low levels of
added activities, such as creating
contention
multiuser
more advanced user functionality,
Xenomorphfor
clients
have access,
already and
ffd8ffe000104a46494600010201009600960000ffe20c5849434
no
materialsignificant
degradation
of
says Sentance.
expressed
enthusiasm
for
35f50524f46494c4500010100000c484c696e6f021000006d6e74
performance
with
increasing
database
the TimeScape solution based on SQL
725247422058595a2007ce00020009000600310000616373704
size.
Server 2008. Almost every client and
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prospect that we mention it to says
00000000f6d6000100000000d32d485020200000000000000000
theyd like to move away from 000000000000000000000000000000000000000000000000000
proprietary solutions towards a000000000000000000000000000116370727400000150000000
standardsbased approach, says
3364657363000001840000006c77747074000001f00000001462
Sentance. Theyre extremely keen
to
6b707400000204000000147258595a000002180000001467585
work with the SQL Server 200895a0000022c000000146258595a0000024000000014646d6e64
0000025400000070646d6464000002c40000008876756564000
solution,
and as
ourtraders
resultsand
show
that
Users such
the
riskin
0034c0000008676696577000003d4000000246c756d69000003f
no way is performance
8000000146d6561730000040c00000024746563680000043000
compromised.
00000c725452430000043c0000080c675452430000043c000008
0c625452430000043c0000080c7465787400000000436f707972
Solution
69676874202863292031393938204865776c6574742d5061636
Standardsbased solution,
b61726420436f6d70616e7900006465736300000000000000127
relational database
35247422049454336313936362d322e31000000000000000000
management system, high
000012735247422049454336313936362d322e3100000000000
performance data repository
Benefits
0000000000000000000000000000000000000000000
Enhanced performance;
simplified management;
increased productivity;
reduced operational risk;
compliance needs met
Technologies
Microsoft .NET Framework, Office
Excel 2007, Office SharePoint
Server 2007, SQL Server 2005,
SQL Server 2008
Partner
Microsoft
www.microsoft.
com
31
ffd8ffe0001
04a4649460
001020100c
d00cd0000ff
e20c584943
435f50524f4
6494c45000
10100000c4
84c696e6f02
1000006d6e
7472524742
2058595a20
07ce000200
0900060031
0000616373
704d534654
0000000049
4543207352
4742000000
0000000000
0000000000
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include job management services, deal pricing
2d48502020
services and management services. All operate
on Microsoft XP or Vista and integrate with
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multiple formats to make for the best overall
0000000000
portfolio and risk management solution
ffd8ffe000104a4649460001020100ce0
currently available for the highend enterprise,
0ce0000ffe20c584943435f50524f46494
0000000000
the individual trader, and everything in
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between.
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Case study: Linedata Risk
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Analytics
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0000000000
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00000000000000000000000000000000
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5000000033
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0001840000
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006c777470
000043c0000080c625452430000043c0
000080c7465787400000000436f707972
74000001f0
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776c6574742d5061636b61726420436f6
0000001462
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6b70740000
00012735247422049454336313936362
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0204000000
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10000000000000000000000000000000
147258595a
00000000000000000000000
ffd8ffe000104a4649460001020100ce00ce0000
ffe20c584943435f50524f46494c4500010100000
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000000000000000000f6d6000100000000d32d4
850202000000000000000000000000000000000
000000000000000000000000000000000000000
000000000000000000000001163707274000001
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074000001f000000014626b7074000002040000
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0022c000000146258595a000002400000001464
Altaira
6d6e640000025400000070646d6464000002c40
Trading/Portfolio
Risk
0000088767565640000034c0000008676696577
000003d4000000246c756d69000003f80000001
division
4422 South
46d6561730000040c0000002474656368000004
Century
Drive Murray UT
300000000c725452430000043c0000080c67545
841232513
USA
2430000043c0000080c625452430000043c0000
080c7465787400000000436f707972696768742
02863292031393938204865776c6574742d5061
Blaise
Labriola, Managing
636b61726420436f6d70616e790000646573630
000000000000012735247422049454336313936
Director
Tel: +1 801 288
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8928
7422049454336313936362d322e310000000000
bflabriola@altairallc.com
000000000000000000000000000000000000000
www.altairallc.com
00000
Altaira is the premier crossasset portfolio
system for fronttomiddle trading and riskmanagement. Using tools like C# for rapid
application development, Microsoft .NET for a
rich client interface, grid computing for
unlimited scalability, and Web services for both
crossplatform interoperability and extensibility,
Altaira provides both the system and the
flexibility
to meetAltaira
the needs of
Designed to
bycustomise
traders forittraders,
todays competitive
markets.
software
has a number
of features, which
ffd8ffe000104a46494
600010201009600960
000ffe20c584943435f5
0524f46494c45000101
00000c484c696e6f021
000006d6e747252474
22058595a2007ce000
200090006003100006
Asset Control
16373704d534654000
Crystal Tower
20th Floor
000004945432073524
Orlyplein 10
742000000000000000
1043 DP
Amsterdam
0000000000000f6d600
The
0100000000d32d4850
Netherlands
Tel: +31 20 580
202000000000000000
6900 Fax: +31 20
000000000000000000
580 6999
info@asset000000000000000000
control.com
000000000000000000
EMEA
contact: Claudio Capozzi, EMEA Sales
www.assetDirector
Tel: +44 (0) 20 7743 0320
control.com
000000000000000000
ccapozzi@assetcontrol.com
000000001163707274
US contact: John Mitchell, North America Sales
000001500000003364
Director Tel: +1 646 673 8886
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jmitchell@assetcontrol.com
006c77747074000001f
APAC contact: Alex Rich, Asia Pacific Sales
000000014626b70740
Director Tel: +65 6248 4677 arich@asset000020400000014725
control.com
8595a0000021800000
Asset Control provides centralised data
0146758595a0000022
management solutions for financial institutions
worldwide. From businessentity to firmwide
c000000146258595a0
projects, the company offers strategic
000024000000014646
reference and market data platforms that
deliver the accuracy, consistency and
d6e640000025400000
relevancy firms need to reduce costs and risk,
070646d6464000002c
manage evolving compliance needs, and
accelerate
thehas
delivery
ofsome
new products
Asset Control
helped
of the and
400000088767565640
services.
worlds
most successful financial institutions
000034c00000086766
optimise their data infrastructures, enhance
decisionmaking, and reduce complexity.
96577000003d400000
0246c756d69000003f8
Case study: Multinational
000000146d65617300
Investment Company uses
00040c000000247465
TAPMaster
636800000430000000
0c725452430000043c
0000080c6754524300
00043c0000080c6254
52430000043c000008
0c7465787400000000
436f707972696768742
028632920313939382
ffd8ffe000104a464
9460001020100960
0960000ffe20c5849
43435f50524f46494
c4500010100000c4
84c696e6f0210000
06d6e74725247422
058595a2007ce000
Avanade
2000900060031000
818 Stewart
St. Suite
0616373704d53465
400 Seattle
4000000004945432
WA 98101
USA
0735247420000000
0000000000000000
Tel: +1 206 239
5600 Fax: +1 206
00000f6d60001000
239 5605
00000d32d4850202
info@avanade.co
m
0000000000000000
Avanade
is a global IT consultancy dedicated to
www.avanade.co
0000000000000000
using
the Microsoft platform to help enterprises
m
achieve profitable growth. Through proven
0000000000000000
solutions that extend Microsoft technologies,
0000000000000000
the company helps enterprises increase
revenue, reduce costs and reinvest in
0000000000000000
innovation to gain a competitive advantage.
0000000000000001
Avanade consultants deliver value according to
each customers requirements, timeline and
1637072740000015
budget
byhas
combining
insight,organisations
innovation and
Avanade
helped leading
0000000336465736
the
talent
a global
workforce.
across
theof
capital
markets
space implement
3000001840000006
critical business systems in sectors including
wealth management, asset management,
c77747074000001f
exchanges, clearing, risk management, and
000000014626b707
brokerage. Its solutions span the breadth of the
Microsoft platform and products including
4000002040000001
Avanades Enterprise CRM for wealth
47258595a0000021
management, business intelligence solutions,
and ACA, the Avanade Connected
8000000146758595
Architectures, to streamline software
Case study: London Stock
a0000022c0000001
development.
Exchange
46258595a0000024
000000014646d6e6
4000002540000007
0646d6464000002c
4000000887675656
40000034c0000008
676696577000003d
4000000246c756d6
9000003f80000001
46d6561730000040
c000000247465636
8000004300000000
c725452430000043
c0000080c6754524
ffd8ffe0001
04a4649460
0010201009
600990000ff
e20c584943
435f50524f4
6494c45000
10100000c4
84c696e6f02
1000006d6e
7472524742
2058595a20
07ce000200
0900060031
BlueThread Technologies
0000616373
2232 South Main
704d534654
Street Ann Arbor MI
0000000049
48103 USA
4543207352
4742000000
0000000000
0000000000
Mark Brazeau, Principal
00f6d600010
Tel: +1 734 761 6543
0000000d32
Fax: +1 734 996 5506
d485020200
mbrazeau@bluethreadin
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c.com
0000000000
0000000000
www.bluethreadinc.com
0000000000
BlueThread is an enterprise content
0000000000
management (ECM) solution provider, which
0000000000
offers measurable business benefits. Its EMC0000000000
framework offers worldclass benefits by
0000000000
delivering a low risk and dramatically lower 0000000000
costofownership alternative, based on and 0001163707
2740000015
Serving as by
theMicrosoft
core of this
platform, SharePoint
supported
SharePoint.
0000000336
provides highlyscalable ECM repository and
4657363000
library services capabilities that can manage0018400000
content of all types as well as their related 06c7774707
lifecycles while K2 blackpearl adds robust 4000001f000
000014626b
workflow/business process management
7074000002
capabilities. SmartDesk delivers this bestofBlueThreads
0400000014
breed ECM platform to work processors via an
7258595a00
intelligent and intuitive enduser application 0002180000
experience that surfaces only specific content
0014675859
5a0000022c
and processing tools required to process
SmartDesk dynamically gathers, sorts, and 0000001462
work.
presents only the specific content (images, 58595a0000
0240000000
pdfs, Word documents, and lineofbusiness
14646d6e64
data) and contextual toolbars based upon a 0000025400
specific participant, work type and workflow000070646d
step. Unlike other generic ECM systems, it frees
6464000002
the user from organisational tasks, duplicatec400000088
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data entry, extraneous data and unnecessary
controls, and delivers work and supporting 00034c0000
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content to executives, managers and
77000003d4
knowledge workers in a highlyoptimised user
000000246c
experience.
756d690000
Case study: Raymond
03f80000001
James
46d6561730
000040c000
0002474656
3680000043
00000000c7
2545243000
0043c00000
80c6754524
30000043c0
000080c625
4524300000
43c0000080
c746578740
0000000436f
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0000000000000000000000000000
0000000000
ffd8ffe000104a464946
ffd8ffe00010
0001020100960096000
4a464946000
0ffe20c584943435f505
10201009600
24f46494c4500010100
960000ffe20c
000c484c696e6f021000
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006d6e7472524742205
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Broadridge Financial Solutions,
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21000006d6e
1981
Marcus
Inc.
Avenue
Lake
4543207352474200000
74725247422
Success NY
0000000000000000000
058595a2007c
11042
USA
0000f6d600010000000
e0002000900
Arlene Driscoll, VP,
0d32d48502020000000
06003100006
Marketing
Tel: +1 888
237
1900
0000000000000000000
16373704d53
info@broadridge.com
0000000000000000000
46540000000
www.broadridge.com
EMEA
and APAC contact: Mike West, VP,
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Marketing Tel: +44 (0) 20 7551 3000
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mike.west@broadridge.com
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With more than 40 years of experience,
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Broadridge is a leading provider of technologybased
outsourcing solutions to the financial
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services industry, offering the most
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comprehensive range of fullyintegrated
solutions
to meet the operational needs of
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banks and broker/dealers
Broadridge
offers solutionsworldwide.
to support the
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entire investment lifecycle, including solutions
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for
investor communications, global securities
processing, and securities clearing and
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operations outsourcing solutions. It offers
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advanced
systems and services that are
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dependable,
scalable, and costefficient.
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Outsourcing to Broadridge enables its clients
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to
reduce their capital investments in
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operations infrastructure, thereby allowing
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them to increase their focus on core business
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activities.
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ClusterSeven
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10 Fashion
Street London
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E1 6PX UK
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Henry Umney, VP,
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Sales Tel: +44 (0) 20
7426 1000
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humney@clusterseven
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.com
US
contact: Richard Dodd, VP,
www.clusterseven.co
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Americas
Tel: +1 212 858 7790
m
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rdodd@clusterseven.com
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ClusterSevens software nonintrusively
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monitors and tracks spreadsheets to enable
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users to more effectively manage
governance, risk and regulatory compliance
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obligations in order to generate revenue,
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ClusterSeven
enhance staff monitors
efficiencyspreadsheet
and boost activity
down
to a cell level whether the documents
productivity.
00022c000000146258595a
are held within a file server environment or a
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content repository (Microsoft SharePoint 2007
recommended). ClusterSeven is compatible
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with all versions of Excel from 97 to 2007 and
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all data is stored in a SQL Server 2005 or 2008
database.
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Case study:
8676696577000003d4000
clusterseven.com
000246c756d69000003f80
00000146d656173000004
0c00000024746563680000
04300000000c7254524300
00043c0000080c67545243
0000043c0000080c625452
430000043c0000080c7465
787400000000436f707972
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000000000000001273524
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007ce000200090006003
10000616373704d53465
Comprehensive Software
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25178 Genesee Trail
Systems
Road Golden CO
24742000000000000000
80401 USA
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100000000d32d4850202
Faye Woodley, Senior Manager, Business
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Development Tel: +1 303 876 1500 Fax: +1
303 526 9362
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faye.woodley@csssoftware.com
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Comprehensive Software Systems (CSS) is a
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clientcentric software development company
that provides full enterprise and point solution
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offerings to the financial services industry. It
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works to understand its clients specific needs
and challenges and offer them innovative
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software and services for their fronttobackoffice
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processing
needs.to mainframe technology, CSS
As an alternative
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has the ability to rapidly adapt to market
demands, client needs, and regulatory
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initiatives and offers its clients full access to
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business data in real time all day, every day.
Its solutions function either as an enterprise
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solution or as a standalone point solution that
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seamlessly integrates into a firms existing
system to gain momentum with a new
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competitive advantage.
Case study:
002c4000000887675656
csssoftware.com
40000034c00000086766
96577000003d40000002
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000146d6561730000040
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Coral8
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82 Pioneer
Way Suite
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106
100000000d32d485020200
Mountain
View CA
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94041 USA
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Colin Clark, EVP, Financial
Services Tel: +1 650 210
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3810 Fax: +1 650 210 3811
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cclark@coral8.com
www.coral8.com
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Coral8's next generation Complex Event
Processing platform enables quick creation
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and deployment of live analytic applications
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that provide uptotheminute business
intelligence to help users make better
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decisions faster and take appropriate actions
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that
can lead
to positive
impact build
on their
Coral8
C
can help
its customers
systems for:
businesses.
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Realtime
t profit and loss
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Realtime
t market data analytics
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Risk management systems
R
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Smart order routing and execution management
S
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Order and liquidity analysis
O
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Quantitative trading and signal generation
Q
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Surveillance and compliance.
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40c0000002474656368000
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4a464946000
201009600960
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000ffe20c5849
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43435f50524f4
584943435f50
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00010100000
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Digipede Technologies
6d6e74725247
21000006d6e
6114
La Salle
Avenue
302
422058595a20
74725247422
Oakland CA
07ce00020009
058595a2007c
94611
USA
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e0002000900
616373704d53
06003100006
John
Powers, CEO
Tel:
+1 510 834
465400000000
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3645 Fax: +1 510
494543207352
46540000000
834
8632
john@digipede.ne
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04945432073
t
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52474200000
Digipede Technologies delivers grid computing
www.digipede.net
software
that dramatically improves the
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performance of financial applications by
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distributing execution across a network of
Windows
machines. Digipede helps its financial
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customers gain a competitive advantage by
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accelerating compute and transactionintensive
applications
in risk management, correlation
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analysis, portfolio optimisation, algorithmic
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trading,
and more. Featuring the critically
acclaimed
Digipede Framework SDK, the
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Digipede Network is designed to be easier to
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deploy
and use than competing grid computing
solutions.
The company has integrated its grid
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computing
software with key elements of the
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Microsoft
technology stack, including .NET,
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Visual
Studio, Windows Server (including
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Windows
Case study:
HPC Server
III Offshore
2008), Excel, and Excel
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370727400000
00000000000
Advisors
Services.
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00000000000000000000f6d600010000
150000000336
00000000000
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465736300000
00000000000000000000000000000000
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ffd8ffe0001
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0010201009600960000ff 001020100c
e00ce0000ff
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6494c45000
4c696e6f021000006d6e710100000c4
84c696e6f02
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7472524742
7ce00020009000600310 2058595a20
07ce000200
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0900060031
Doculabs
0000616373
00000004945432073524
200 W.
704d534654
Monroe
74200000000000000000 0000000049
Suite 2050
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00000000000f6d6000100
Chicago IL
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0000000000
60606 USA
000000d32d4850202000
0000000000
00f6d600010
00000000000000000000
Tel: +1 312 433
0000000d32
7793
Fax:
+1
312
00000000000000000000 d485020200
433 7795
0000000000
00000000000000000000
0000000000
www.doculabs.co
EMEA
and US contact: Rick Tucker, Director 0000000000
of
m
00000000000000000000
0000000000
Business Development Tel: +1 312 881 1640
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rtucker@doculabs.com
0000000000
74000001500000003364 0000000000
0000000000
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0000000000
APAC contact: Jeetu
0001163707
Patel, EVP Tel: +1 312
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2740000015
881 1617
00014626b70740000020
0000000336
jpatel@doculabs.com
4657363000
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Doculabs is a consulting firm that helps
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organisations develop sound technology
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00218000000146758595
strategies for contentand processrelated
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000014626b
a0000022c00000014625
applications such as Office and SharePoint. Its
7074000002
engagements focus on helping clients leverage
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0400000014
their existing enterprise content management
7258595a00
(ECM) investments on a broader enterprise
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0002180000
basis through objective analysis and indepth0014675859
00070646d6464000002c
market
knowledge.
This
approach
is
based
on
All solutions leverage many Microsoft products
5a0000022c
the
fundamental
belief that
in order
40000008876756564000
0000001462
thatcompanys
include SQL
Server, SharePoint,
Windows,
58595a0000
to
protectXP
a clients
longterm
interest,
Windows
andcapital
Microsoft
BI products.
Coral8
Doculabs
helps
markets
clients deliver
0034c000000867669657
technology
advisors
should
notthrough
becustomers0240000000
alsotheir
provides
a .NETobjectives
API, allowing
on
technology
14646d6e64
implementers.
7000003d4000000246c7
to integrate complex
event ECM
processing
into
engagements
that address
opportunities
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line
of
business
applications.
such as strategic planning, information
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56d69000003f800000014
compliance, ediscovery, and digitisation for 6464000002
Case study:
6d6561730000040c0000
outsourcing.
Through more than a thousandc400000088
coral8.com
consulting engagements for organisations 7675656400
00247465636800000430
facing technology, compliance, and process-00034c0000
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0000000c725452430000
related challenges, its proven approach has
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provided its clients with the information and000000246c
043c0000080c675452430
advice they need to make confident and well756d690000
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03f80000001
informed decisions.
Case study:
46d6561730
430000043c0000080c746
doculabs.com
000040c000
5787400000000436f70790002474656
3680000043
72696768742028632920 00000000c7
31393938204865776c65 2545243000
0043c00000
74742d5061636b617264 80c6754524
30000043c0
20436f6d70616e7900006000080c625
46573630000000000000 4524300000
43c0000080
01273524742204945433 c746578740
0000000436f
ffd8ffe000104a4649460
0010201009600960000ff
e20c584943435f50524f4
6494c4500010100000c48
4c696e6f021000006d6e7
4725247422058595a200
7ce00020009000600310
000616373704d5346540
Finsbury Solutions
00000004945432073524
Winchester House 259269 Old Marylebone Road
74200000000000000000
London NW1 5RA UK
00000000000f6d6000100
000000d32d4850202000
00000000000000000000
Jeremy Wood, Director Tel:
+44 (0) 20 7170 4075
00000000000000000000
jeremy.wood@finsburysolution
00000000000000000000
s.com
www.finsburysolutions.com
00000000000000000000
Spreadsheet Workbench from Finsbury
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Solutions is a leading spreadsheet
management and compliance solution
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based
Microsoft
SharePoint. address the
It
helpson
financial
organisations
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issues of risk, audit, version control and
compliance that are inherent with the use of
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business critical spreadsheet applications. In
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addition it provides a spreadsheet framework
designed to improve the operational
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efficiency of spreadsheet based business
00218000000146758595
processes. Key areas of its use include:
p
F
Finance
a0000022c00000014625
R and audit
Risk
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P
Product
control
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T
Trading
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Regulatory and compliance (SarbanesOxley).
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0034c000000867669657
7000003d4000000246c7
56d69000003f800000014
6d6561730000040c0000
00247465636800000430
0000000c725452430000
043c0000080c675452430
000043c0000080c625452
430000043c0000080c746
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31393938204865776c65
74742d5061636b617264
20436f6d70616e7900006
46573630000000000000
01273524742204945433
ffd8ffe000104a464946000
10201009600960000ffe20c5
84943435f50524f46494c450
0010100000c484c696e6f02
1000006d6e7472524742205
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00310000616373704d53465
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00000000000000000000000
00000000000000000000000
00000000000000000000000
00000000000000116370727
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00000000000000000000000
00000000000000000000000
ffd8ffe000104a4649
ffd8ffe00010
46000102010096009
4a464946000
60000ffe20c5849434
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35f50524f46494c450
970000ffe20c
0010100000c484c696
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e6f021000006d6e747
524f46494c45
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00010100000
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Information Management Group
310000616373704d5
21000006d6e
Harmsworth
House
1315
34654000000004945
74725247422
Bouverie Street
43207352474200000
058595a2007c
London
EC4Y 8DP
UK
00000000000000000
e0002000900
000000f6d600010000
06003100006
Garry
Miller, Business Development
Director
Tel: +44 (0) 20 7842 7800
0000d32d485020200
16373704d53
Fax: +44 (0) 20 7842 7801
00000000000000000
46540000000
info@imgroup.com
www.imgroup.com
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04945432073
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52474200000
Information Management Group (IMGroup) is
committed
to delivering innovative business
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intelligence, information management, CRM,
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portal and collaboration solutions.
The
IMGroup Institutional Client Platform is a
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0f6d60001000
highly sophisticated client management
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00000d32d48
application which leverages the very latest
technologies,
including SharePoint, SQL Server
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50202000000
and Microsoft CRM, to provide a highly cost000006c7774707400
00000000000
effective
solution.
Data mining,
predictive analytics and business
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00000000000
intelligence
are surfaced through a
collaborative portal framework and integrated
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00000000000
with telephony systems to provide a realtime
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00000000000
customer
system, which provides highly
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relevant pointofcontact information and has
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00000000000
increased
sales
performance
one of the
The
product
is based
on core in
Microsoft
c4500010100000c484c696e6f02100000
a0000022c000000146
00000000000
worlds
largestThese
banksinclude
by a factor
of five 2007
times.
6d6e74725247422058595a2007ce0002
technologies.
SharePoint
0009000600310000616373704d534654
and
SQL Server 2005/8, Windows Server,
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00000000000
00000000494543207352474200000000
OfficeCase
and study:
Windows Workflow Foundation for
imgroup.com
00000000000000000000f6d600010000
000014646d6e64000
00000000000
advanced
authorisation, workflow and
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business
process capabilities.
0025400000070646d
00000000000000000000000000000000
01163707274
00000000000000000000000000000000
Case study: Kohlberg Kravis
6464000002c400000
00000150000
00000000000000116370727400000150
Roberts
0000003364657363000001840000006c
08876756564000003
00033646573
77747074000001f000000014626b7074
00000204000000147258595a00000218
4c000000867669657
63000001840
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7000003d400000024
000006c7774
6258595a0000024000000014646d6e64
0000025400000070646d6464000002c4
6c756d69000003f800
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00000088767565640000034c00000086
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0000146d656173000
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000002474656368000004300000000c7
0040c000000247465
b7074000002
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63680000043000000
04000000147
000043c0000080c625452430000043c0
000080c7465787400000000436f707972
00c72545243000004
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ffd8ffe0001
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7472524742
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0900060031
GigaSpaces Systems
Impendium
Technologies
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07ce00020009000
317 Madison
Financial
services
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division
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HenleyonThames
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10017 USA RG9 6AB
Oxfordshire
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00f6d600010
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John Giubileo, EVP and General Manager,
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646
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2830
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000000000000000
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Andrew
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00f6d60001000000
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Tel:contact:
+972 9 Stuart
952 6751
US
Clark, Business
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APAC contact: Greg Lenehan, APAC Regional0001163707
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contact:
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Tel: +65
9618 6151
000000000000000
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4657363000
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GigaSpaces
Technologies is a leading
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000116370727400
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capital markets and treasury specialist, which
4000001f000
000014626b
000150000000336
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Microsoft
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for
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capital
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investment
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GigaSpaces
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include
six
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clouds and
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world's
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banks,
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carriers,
managers
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treasuries.
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world's top online gaming companies, and 7675656400
58595a000002400
00034c0000
Case study:
Global
Investment
leading
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media
organisations.
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Bank
0000014646d6e64
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Case studies: Monte Paschi
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000000246c
Group
Energy Trading
756d690000
Industry
0646d6464000002
03f80000001
46d6561730
c40000008876756
000040c000
0002474656
5640000034c0000
3680000043
008676696577000
00000000c7
2545243000
003d4000000246c
0043c00000
80c6754524
756d69000003f800
30000043c0
0000146d6561730
000080c625
4524300000
000040c00000024
43c0000080
c746578740
746563680000043
0000000436f
ffd8ffe000104a464
9460001020100960
0960000ffe20c5849
43435f50524f46494
c4500010100000c4
84c696e6f0210000
06d6e74725247422
058595a2007ce000
Infusion Development
2000900060031000
291
Broadway
0616373704d53465
13th Floor
4000000004945432
New York
NY 10007
0735247420000000
USA
0000000000000000
Christian Schneider,
COO Tel: +1 212 732
00000f6d60001000
6100 Fax: +1 212
00000d32d4850202
732 3335
cschneider@infusion.
0000000000000000
com
0000000000000000
www.infusion.com
EMEA
contact: Bryan Shiffman,
Director Tel: +44 (0) 207 936
0000000000000000
1620 bshiffman@infusion.com
0000000000000000
APAC contact: Cortez La Palme, General
0000000000000000
Manager Tel: +971 50 354 0172
0000000000000001
clapalme@infusion.com
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Infusion Development is a Microsoft Gold
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Certified Partner that applies emerging
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technologies to solve complex software
problems. Its international offices in New York,
c77747074000001f
London, Toronto, Boston, and Dubai offer a full
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suite of information technology services with a
focus on talent, technology, and designdriven
4000002040000001
methodologies, placing Infusion at the
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forefronthas
of application
andsolutions
interfacefor many of
Infusion
implemented
exploration.
the worlds largest organisations in the
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financial services, travel and tourism,
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healthcare, technology, and government
sectors. Infusions proprietary and Microsoft
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emerging technology solutions are
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implemented around the world by its team of
over 200 fulltime consultants.
4000002540000007
0646d6464000002c
4000000887675656
40000034c0000008
676696577000003d
4000000246c756d6
9000003f80000001
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8000004300000000
c725452430000043
c0000080c6754524
ffd8ffe0001
ffd8ffe0001
04a4649460
0010201009
04a4649460
700960000ff
e20c584943
0010201009
435f50524f4
600960000ff
6494c45000
10100000c4
e20c584943
84c696e6f02
1000006d6e
435f50524f4
7472524742
6494c45000
2058595a20
07ce000200
10100000c4
0900060031
IPC Systems
0000616373
84c696e6f02
3 Second
704d534654
Street
Jersey
0000000049
1000006d6e
City NJ
4543207352
7472524742
07311 USA
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0000000000
2058595a20
0000000000
Tel: +1 201 253
00f6d600010
07ce000200
2000 Fax: +1 201
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253
2361
0900060031
d485020200
www.ipc.com
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US contact: Len Bontempi, VP/Managing
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Director, Americas Tel: +1 212 858 7867
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len.bontempi@ipc.com
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4543207352
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EMEA contact: Kevin Acott, Managing
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Director, EMEA Tel: +44 (0) 20 7979 7221 0000000000
0001163707
kevin.acott@ipc.com
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2740000015
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APAC contact: David Dodd, Managing
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Director, Asia Pacific Tel: +852 2899
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8028 david.dodd@ipc.com
06c7774707
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4000001f000
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d485020200
IPC is a leading provider of indispensable 7074000002
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0400000014
financial trading communications solutions to
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the worlds largest financial services firms and
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global enterprises. With 35 years of expertise
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and product innovation, IPC provides its
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customers with global systems and solutions,
as well as a suite of products and enhanced 58595a0000
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services that include advanced Voice over 0240000000
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Internet Protocol (VoIP) and an integrated
0000025400
network
with
24/7,
365
day
management
The company produces a number of IPC
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services for
moreutilise
than 40
countries.
solutions,
which
Microsoft
Windows, 6464000002
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including: Enterprise Administration Server; c400000088
7675656400
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0000000000
00034c0000
Management; Voice Recording Systems;
0086766965
0001163707
IQ/Impact;
and
Proteus
Trader.
Based in Jersey City, New Jersey, IPC
77000003d4
has approximately 1,000 employees
2740000015
000000246c
756d690000
throughout the Americas, Europe and
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03f80000001
AsiaPacific regions.
46d6561730
4657363000
000040c000
0002474656
0018400000
3680000043
06c7774707
00000000c7
2545243000
4000001f000
0043c00000
80c6754524
000014626b
30000043c0
7074000002
000080c625
4524300000
0400000014
43c0000080
c746578740
7258595a00
0000000436f
ffd8ffe00010
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4a464946000
4a464946000
10201009600
10201009600
960000ffe20c5
960000ffe20c
84943435f505
584943435f50
24f46494c450
524f46494c45
0010100000c4
00010100000
84c696e6f021
c484c696e6f0
K2
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21000006d6e
EMEA
divison
26
Worple
72524742205
74725247422
Road
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058595a2007c
Wimbledon
London
SW19
00200090006
e0002000900
4EE UK
00310000616
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Ruan
Scott, VP, EMEA
373704d5346
16373704d53
division Tel: +44 (0) 20
54000000004
46540000000
8971
3450 Fax: +44 (0)
20
8946 8844
94543207352
04945432073
ruan@k2.com
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52474200000
www.k2.com
US
contact: Glen Bryant, VP, US
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division Tel: +1 425 883 4200
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glen@k2.com
d6000100000
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APAC contact: Weng Him Koh, VP, APAC
000d32d4850
00000d32d48
division Tel: +65 6327 4110
wenghim@k2.com
20200000000
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K2 is a platform for building processdriven
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applications
that improve business efficiency.
Its applications are flexible and scalable and
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can span employees, departments,
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organisations
and
systems.
All
applications
arelineofbusiness
built on .NET and
leverage
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existing
investments in Microsoft software
0960000ffe20c584943435f50524f46494
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infrastructure Microsoft Office SharePoint
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00000000000
00000000000
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Server,
InfoPath, Visio, Visual Studio, Office,
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Exchange,
BizTalk and Office Communications
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Server.
K2 solutions are deployed by a growing
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number
of the global Fortune 100. The
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company
is a division of SourceCode
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00000000000000000000000000000000
01163707274
Technology Holdings, based in Redmond,
00000000000000000000000000000000
00015000000
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Washington,
and has offices all over the world.
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03364657363
00033646573
Case
study: Ai Claims
77747074000001f000000014626b7074
Solutions
00000204000000147258595a00000218
00000184000
63000001840
000000146758595a0000022c00000014
0006c7774707
000006c7774
6258595a0000024000000014646d6e64
0000025400000070646d6464000002c4
4000001f0000
7074000001f0
00000088767565640000034c00000086
76696577000003d4000000246c756d69
00014626b70
00000014626
000003f8000000146d6561730000040c0
000002474656368000004300000000c7
74000002040
b7074000002
25452430000043c0000080c675452430
00000147258
04000000147
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000080c7465787400000000436f707972
595a0000021
258595a0000
69676874202863292031393938204865
776c6574742d5061636b61726420436f6
80000001467
02180000001
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58595a00000
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00012735247422049454336313936362
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00022c00000
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10000000000000000000000000000000
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0146258595a
00000000000000000000000
ffd8ffe000104a4
64946000102010
09500950000ffe2
0c584943435f505
24f46494c450001
0100000c484c69
6e6f021000006d6
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Kynetix Technology Group
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Token House 12
Tokenhouse
20009000600310
Yard London
000616373704d5
EC2R 7AS
34654000000004
Matt Dolton, Client Services
94543207352474
Director Tel: +44 (0) 20 7836
1800 Fax: +44 (0) 20 7836
20000000000000
1801
00000000000000
matt.dolton@kyntex.com
www.kynetix.com
0f6d60001000000
Kynetix partners with UK capital market firms
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to enable its customers to concentrate on their
core competencies, build valuable client
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relationships and focus on profits. The
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companys key differentiator is its ability to
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deliver purposebuilt solutions quickly, using its
Kynetix
can
fix inflexible,
homegrown,
or outofspecialist
financial
services
insight.
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date packaged applications by rapidly building
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and implementing software solutions
incorporating Microsoft Dynamics CRM, BizTalk
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Server, Office SharePoint Server, SQL Server
00000000001163
anda Excel
Services.
As
Microsoft
Gold Certified Partner, it has
the capabilities to provide flexible, rapidly
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delivered, integrated solutions that provide
00000033646573
its customers with a competitive advantage.
63000001840000
006c7774707400
0001f0000000146
26b70740000020
40000001472585
95a00000218000
000146758595a0
000022c0000001
46258595a00000
24000000014646
d6e64000002540
0000070646d646
4000002c400000
08876756564000
0034c000000867
6696577000003d
4000000246c756
d69000003f80000
ffd8ffe000104a464
9460001020100b40
0b40000ffe20c5849
43435f50524f46494
c4500010100000c4
84c696e6f02100000
6d6e747252474220
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Linedata Services
0009000600310000
260 Franklin
Street Boston
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MA 02110 USA
0000000049454320
7352474200000000
Annie Morris, Managing
0000000000000000
Director Tel: +1 617 912
4700 Fax: +1 617 912
0000f6d6000100000
4801
000d32d485020200
annie.morris@na.linedata.c
om www.ldsam.com
0000000000000000
EMEA contact: Simon Bennett, Director
0000000000000000
of Sales Tel: +44 (0) 20 7360 1800
uksales@ldsam.com
0000000000000000
0000000000000000
APAC contact: Marie Christine Merkly,
Director of Sales Tel: +852 3583 7900
0000000000000000
hkinfo@bft.linedata.com
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Linedata Services is a global technology
leader for investment software, solutions and
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support. Linedata Services Asset
00001840000006c7
Management division provides
comprehensive, scalable solutions to the buy7747074000001f00
side, from pretrade to postsettlement, with
0000014626b70740
hundreds of clients at more than 1,000 sites
and 13,000 users in 40 countries. Linedata is
0000204000000147
unique in offering a full frontto backoffice
258595a000002180
solution via enterprise installation, or as an
application service provider (ASP), and has 20
00000146758595a0
years of experience delivering hosted and ASP
000022c000000146
Linedatas
LongView
Live,
anServer
intuitive,
solutions that
now have
SQL
and
jetfighterlike
interface for Foundation
its LongView
Windows Communication
atTrading
their
258595a000002400
Order
core. Management System (OMS) is built on
0000014646d6e640
Windows Presentation Foundation. Linedata is
also on the latest version of .NET and is fully
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certified on Vista and Windows Server 2008.
46d6464000002c40
Case study:
0000088767565640
SunTrust
000034c000000867
6696577000003d40
00000246c756d690
00003f8000000146d
6561730000040c00
0000247465636800
0004300000000c72
5452430000043c00
00080c6754524300
ffd8ffe0001
ffd8ffe000104a464946
ffd8ffe000
04a4649460
001020100c
0001020100c800c8000
104a464946
800c80000ff
e20c584943
0ffe20c584943435f5052
0001020100
435f50524f4
4f46494c450001010000
c800c80000
6494c45000
10100000c4
0c484c696e6f02100000
ffe20c58494
84c696e6f02
1000006d6e
6d6e747252474220585
3435f50524f
7472524742
95a2007ce0002000900
46494c4500
2058595a20
07ce000200
0600310000616373704
010100000c
0900060031
Misys
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484c696e6f
123 Main
704d534654
Street
8th
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021000006d
Floor White
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0000000000000000000
6e74725247
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Plains, New
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York 10601
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USA
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David Stewart, Product Manager2007ce0002
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Jessica
Buhl,
Product
Marketing
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Manager Tel: +1 914 428 7200
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0000000000000000000
3100006163
Fax: +1 914 428 0795
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David.Stewart@misys.com
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jessica.buhl@misys.com
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0000000000000000000
5400000000
www.misysbanking.com
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Misys Opics Plus is a .NET service oriented, 0000000000
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front to back office, core treasury, capital 0000000000
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markets and derivatives solution.
On a single
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platform, it processes vanilla and complex 2740000015
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derivatives, fixed income, equity and treasury
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trades. Opics Plus delivers optimal
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performance and functionality with Microsoft06c7774707
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0100000000
endorsed
architecture,
enabling
multitiered
As an extension of the Opics Plus offering, the
4000001f000
and parallel
processing.
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0000021800000014675
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Opics
Plus Middle
Office Suite provides
a
single integration of Opics Plus, Opics Risk 7074000002
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2000000000
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Plus Middle
and Eagleye
Opics
Plus.an
The
Office for
Suite
creates
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environment of protection by performing
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sensitivity
analysis,
scenario
analysis
and
cash
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flow forecasting while calculating VaR
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(Parametric, Monte Carlo and Historical
Simulation), performance measurement
and58595a0000
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attribution. Measurements can be monitored0240000000
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against userdefined limits in realtime.
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Notifications of limit breaches are
available via
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email, SMS or alerts. The Middle Office Suite6464000002
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0000000000
c400000088
calculates
hedging recommendations
that can
Misys is a Microsoft
Key Capital Markets
be leveraged
bothprovider
internally
and
externally. 7675656400
Partner
Solutions
and
Microsoft
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0000000000
00034c0000
Global Independent Software Vendor in the
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30000040c0000002474
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Financial Services industry vertical. Opics Plus
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was awarded the 2006 Windows7072740000
In Financial000000246c
6563680000043000000
756d690000
Services Innovator Award for Treasury &
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0150000000
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Capital Markets.
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3364657363
000040c000
0002474656
0043c0000080c625452
0000018400
3680000043
430000043c0000080c7
00006c7774
00000000c7
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7074000001
0043c00000
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f000000014
30000043c0
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626b707400
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4524300000
76c6574742d5061636b
0002040000
43c0000080
c746578740
61726420436f6d70616e
0014725859
0000000436f
ffd8ffe000104a4
ffd8ffe00010
64946000102010
4a464946000
09600960000ffe2
10201009600
0c584943435f50
970000ffe20c
524f46494c4500
584943435f50
010100000c484c
524f46494c45
696e6f02100000
00010100000
6d6e7472524742
c484c696e6f0
Murex
2058595a2007ce
821000006d6e
rue Bellini
75782
Paris
00020009000600
74725247422
Cedex 16 France
31000061637370
058595a2007c
Tel:
+33 1 44 05
4d534654000000
e0002000900
32 00 Fax: +33 1
00494543207352
06003100006
44
05 32 10
info@murex.com
47420000000000
16373704d53
www.murex.com
00000000000000
46540000000
EMEA
contact: +33 1 4405 3200
0000f6d6000100
04945432073
US contact: +1 212 381 4300
000000d32d4850
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APAC
contact: +65 6216 0288
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Building on over 22 years of experience in
capital
markets, Murex has developed an
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unmatched competence in the design and
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implementation of integrated trading, risk
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management
and processing solution for the
worlds top financial institutions, hedge funds,
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Featuring
leading functionality
each asset
asset management
companies in
and
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class,
MX.3 offers unrivalled product coverage
corporations.
of interest rate, foreign exchange, equity,
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credit and commodity instruments whether
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vanilla,
structured or derivative. The solution
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benefits
from an architecture design focusing
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on robustness, low cost of operation, and
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evolution.
Murex services are readily
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compatible with the Microsoft .NET
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environments.
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Netik
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40 Fulton
Street 11th
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Floor New
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York NY
10038 USA
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0000000000000000
Doug Jeffrey, NA Sales
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8800 Fax: +1 212 267
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5057 nasales@netik.com
www.netik.com
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EMEA contact: Keith Hale, EMEA Sales
Director Tel: +44 (0) 20 7293 8400
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emeasales@netik.com
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APAC contact: Ed Cresswell, Sales
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Executive Tel: +971 509 193 426
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emeasales@netik.com
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Netik is a leading global provider of financial
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data management services and products to the
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securities industry. Netiks data management
products include: Netik Global Securities
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Master; Netik GSM, a reference data managed
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service; Netik InterView, a data warehouse for
the storage of holistic financial data; and Netik
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Information Portal to visualise data and sit at
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the heart of investment operations at many of
the worlds leading asset managers, hedge
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funds, wealth managers, private bankers,
prime
fund
custodians,
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Netiksbrokers,
InterView
andadministrators,
Information Portal
investment
operational
outsourcing
providers
solutions take
full advantage
of the Microsoft
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and
banks.
SQL investment
platform, incorporating
reporting
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services, analysis services and integration
services.
e640000025400000
Case study: Daiwa Securities Global Asset
070646d646400000
Services
2c40000008876756
5640000034c00000
0867669657700000
3d4000000246c756
d69000003f800000
0146d65617300000
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ffd8ffe000104a4
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000ffe20c5849
584943435f50524
43435f50524f4
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00000c484c696e6
100000c484c6
f021000006d6e74
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725247422058595
New Access
6d6e74725247
a2007ce00020009
13 avenue des
Morgines
1213
422058595a20
000600310000616
Geneva Switzerland
07ce00020009
373704d53465400
Tel:
+41
228
799
000600310000
000000494543207
911 Fax: +41 228
616373704d53
352474200000000
799 920
info@newaccess.c
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h
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00000f6d6000100
EMEA
contact: Loredana
www.newaccess.c
Sabbagh,
VP Marketing and
h
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Communication Tel: +41 228
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020000000000000
799 917
loredana.sabbagh@newacce
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APAC contact: Steve Chu, Managing
ss.ch
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info@newaccess.sg
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New Access SA, referencing EFG Bank, ING
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Bank and Banque Safdi amongst its
prestigious clients, is a leader in the banking
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softwareisindustry
s
in the
following
fields: for client
Branch
a powerful
integrated
platform
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acquisition and relationship management, and allows
for customisable features; seamless integration with033646573630000
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transaction systems; and securityproof control. It also
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has the ability to connect with existing banking
applications to act as a portal to the front office,
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and/or to provide its own components for client
relationship
management,
portfolio
and
document
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f
functionalities
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Logical Access Suite is specifically developed for the
banking industry. This electronic document
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management system provides for the administration,
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acquisition, workflow and documents classification in
a
a
variety of formats
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Olivia is a complete portfolio management system for
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a managers
asset
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Xeres produces any document in a highquality looking
format. This includes reports, legal forms and
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documents to be filled in and signed by clients.
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84943435f50524f4
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524f46494c45
1000006d6e74725
00010100000
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Portrait Software
07ce00020009000
21000006d6e
The
Smith
Centre
The
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74725247422
Fairmile
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058595a2007c
HenleyonThames
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e0002000900
Oxfordshire
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06003100006
RG9
6AB UK
Paul
Frederick, EVP, Global Business
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Development Tel: +44 (0) 1491 416 600
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Fax:
+44 (0) 1491 416 601
paul.frederick@portraitsoftware.com
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04945432073
www.portraitsoftware.com
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EMEA
contact: Neil Skilling, EMEA Sales
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Director Tel: +44 (0) 1312 403 106
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neil.skilling@portraitsoftware.com
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US contact: Mark Smith, EVP Sales and
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Marketing Tel: +1 617 457 5225
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mark.smith@portraitsoftware.com
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APAC contact: Chris Lowther, General
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Manager
Tel: +64 21 453 663
chris.lowther@portraitsoftware.com
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Portrait
Software empowers businesstoconsumer
enterprises to drive sales, reduce
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attrition and optimise marketing spend with
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nextgeneration
marketing accelerators for
Microsoft
and legacy customer relationship
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management
(CRM).
Portraits
AlwaysOnMarketing
suite integrates
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advanced
analytics with powerful, eventdriven
marketing automation to engage each
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customer individually in profitable, twoway,
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intelligent
dialog via any channel of
Portraits
suite is a .NET solution, which extends
interaction.
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00033646573
Microsoft CRM to accelerate crossselling during
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63000001840
inbound
and outbound interactions by infusing
automated
bestnextaction (BNA) decision000002540000007
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making into Microsoft CRM screens.
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7074000001f0
The Microsoft technology used in New Access
banking
solutions include: .NET; C#; SQL
c40000008876756
00000014626
Case
study:
Server;
and Merrill
Visual Basic.
Lynch
5640000034c0000
b7074000002
.
008676696577000
04000000147
003d4000000246c
258595a0000
756d69000003f800
02180000001
0000146d6561730
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000040c00000024
00022c00000
746563680000043
0146258595a
ffd8ffe0001
ffd8ffe000104a46494 04a4649460
0010201009
60001020100a000a00
600960000ff
000ffe20c584943435f5 e20c584943
0524f46494c45000101 435f50524f4
6494c45000
00000c484c696e6f021 10100000c4
84c696e6f02
000006d6e747252474 1000006d6e
7472524742
22058595a2007ce0002 2058595a20
07ce000200
000900060031000061
0900060031
Pendo Systems
Protgsoft
0000616373
6373704d5346540000
60North
1
Park Bridge Road
704d534654
Avenue
1904
High
20th
Street
000049454320735247 0000000049
Floor 179094
Centre
4543207352
420000000000000000
Newark NJ
Singapore
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07102 USA
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Kumaran Pillai, CEO
00f6d600010
100000000d32d48502
Tel:
+ Coad,
65 6584
3994 of
David
Director
0000000d32
kumaran@protegesoft
Sales
Tel:
+1
646
873
020000000000000000 d485020200
.com
7732 Fax: +1 646 346
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www.protegesoft.com
7464
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david.coad@pendosystem
Protgsoft
works to solve the needs of
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investors
by providing financial visualisation0000000000
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www.pendosystems.com
solutions
to better
manage
EMEA
contact:
Pamela
Pecs their portfolios. Its
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applications
exploit
the
latest
technology
Cytron,
CEO Tel: +1 646 873
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available to deliver the most innovative
7732
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solutions that help its clients improve their 0000000000
pamela@pendosystems.com
0001163707
business
performance.
Pendo
Systems
isisaan
premier
provider of
Portfolio
Builder
enterpriseoriented
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software
solutions
forplanning,
global financial
platform for
financial
portfolio and2740000015
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institutions.
Pendofor
Systems
core product,
risk management
wealth management
4657363000
BasisPoint,
enterprisegrade
applicationsisina aglobal
Web 2.0
environment.
06c77747074000001f0
0018400000
investment
accounting
engine
that is rapidly
Customers can
dynamically
construct
and 06c7774707
00000014626b707400
becoming
new standard
rebalance the
portfolios,
as well in
as investment
set alerts to 4000001f000
accounting
delivery.
000204000000147258
notify
userssystem
when
the
risk
exceeds000014626b
The BasisPoint
software
is deviation
Microsoftbased,
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acceptable
levels. These
capabilities
result in
including Windows
2003 Server
and Microsoft
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0400000014
portfolios
that
aresystems,
risk adjusted
and helps
SQL Server
2005
and features
a
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investors
to achieve
investment
unique,
sophisticated
functionality
K benefits
Key
of theoptimal
solution
stackthat
include: 0002180000
performance.
provides powerful processing and the
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Optimised
investment portfolios resulting in 0014675859
flexibility tohas
support
complexarchitecture
investment that
BasisPoint
an average
enterprise
5a0000022c
c
consistent
above
returns
0024000000014646d6
strategies.
follows
standards for interoperability and 0000001462
Lower
unit for
costs
for portfolio
monitoring
portability
applications,
data
transfer and
and58595a0000
e64000002540000007
rebalancing
achieving
than 1,000
per 0240000000
remote system
access.more
Alongside
Microsofts
14646d6e64
c
cent
productivity gains
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SQL Server 2005, which allows for ease of 0000025400
Multipleaccount
rebalancing
enables
banks
and
integration, enhanced performance and
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financial
institutions
serve the
massretail 6464000002
scalability,
BasisPointtoprovides
enhanced
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market
effectively.
navigation
that leverages Microsofts .NET c400000088
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framework to extend and enhance its feature7000003d4000000246c
00034c0000
set to the customer.
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77000003d4
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000000247465636800 756d690000
03f80000001
0004300000000c72545 46d6561730
000040c000
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3680000043
675452430000043c000 00000000c7
0080c62545243000004 2545243000
0043c00000
3c0000080c746578740 80c6754524
30000043c0
0000000436f70797269 000080c625
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43c0000080
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0000000436f
ffd8ffe000104a4649460
0010201009600960000ff
e20c584943435f50524f4
6494c4500010100000c48
4c696e6f021000006d6e7
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7ce00020009000600310
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Pyxis Mobile
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1601 Trapelo
Road Suite 260
74200000000000000000
Waltham MA
00000000000f6d6000100
02451 USA
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Christopher Willis, EVP,
Marketing Tel: +1 781 997
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0300
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cwillis@pyxismobile.com
www.pyxismobile.com
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Pyxis Mobile is a leading provider of wireless
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applications that meet the diverse needs of
the financial services and insurance
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industries. Pyxis Mobiles solutions are used
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by mobile financial professionals to assist in
asset growth, portfolio management,
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customer
and field
service,
and IT are
support.
To
date, Pyxis
Mobile
applications
in use at
00014626b70740000020
28 of the top 50 global asset managers, 15 of
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the top 25 insurance carriers, and three of the
top five US banks. Pyxis Mobiles customer list
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includes such companies as AIM, Blackstone
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Group, Deutsche Asset Management, Pioneer,
Manulife, New York Life Investment, AXA
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Financial, Henderson Global, Sun Life
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Financial, and OppenheimerFunds.
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0a00000ffe20c584943435f50524f46494
00070646d6464000002c
c4500010100000c484c696e6f02100000
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00000000000000000000f6d600010000
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00000000000000000000000000000000
00000000000000000000000000000000
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043c0000080c675452430
6258595a0000024000000014646d6e64
0000025400000070646d6464000002c4
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000002474656368000004300000000c7
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10000000000000000000000000000000
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00000000000000000000000
ffd8ffe0001
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00010201009600960000 0010201009
600980000ff
ffe20c584943435f50524f e20c584943
46494c4500010100000c 435f50524f4
6494c45000
484c696e6f021000006d 10100000c4
84c696e6f02
6e74725247422058595a 1000006d6e
7472524742
2007ce00020009000600 2058595a20
07ce000200
310000616373704d5346
0900060031
Rapid Addition
0000616373
54000000004945432073
International
704d534654
House
16
52474200000000000000 0000000049
Yarmouth Place
4543207352
00000000000000f6d600
London W1J 7BU
4742000000
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UK
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0000000000
00f6d600010
20000000000000000000
Toby Corballis, CEO +44 (0)
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20
7993
9906
00000000000000000000 d485020200
toby.corballis@rapidaddition.
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co.uk
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www.rapidaddition.com
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Rapid Addition provides leading edge products
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and services to the financial services industry
0000000000
based
on
the
FIX
protocol
for
the
Microsoft
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platform, which are employed by brokers, 0000000000
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investment managers, and some of the worlds
0000000000
leading
exchanges.
Its products
include highperformance FIX 0001163707
00006c77747074000001
2740000015
engines, workflow enablement of FIX via
f000000014626b707400
0000000336
integration with Microsofts BizTalk Server, an
4657363000
Internetbased WebDealer platform, and Algo00020400000014725859
0018400000
strategies the
editor.
ShortCut,
companys FIX enablement of 06c7774707
5a000002180000001467
BizTalk, comprises a FIX adaptor, and a series
4000001f000
000014626b
58595a0000022c000000
of FIXtoFIXML pipelines and schemas that can
be used and modified by clients to support 7074000002
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0400000014
extensions to application messages. It enables
7258595a00
000014646d6e64000002
organisations to rapidly FIXenable their preand
0002180000
posttrade workflow and can be used to map0014675859
5400000070646d646400
between the different versions. Additional 5a0000022c
0002c400000088767565
features include the ability to set up a FIX 0000001462
message routing hub using outofthebox with58595a0000
no
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0240000000
additional coding, handle EMX messages, map
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696577000003d4000000
between protocols, and support the
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transparency
and
trade
reporting
requirements
000070646d
246c756d69000003f800
of MiFid, RegNMS and other legislation.
6464000002
0000146d656173000004 c400000088
7675656400
0c000000247465636800
00034c0000
Case study:
0086766965
www.protegesoft.com
0004300000000c725452
77000003d4
430000043c0000080c67 000000246c
5452430000043c000008 756d690000
03f80000001
0c625452430000043c00 46d6561730
000040c000
00080c74657874000000 0002474656
3680000043
00436f70797269676874 00000000c7
20286329203139393820 2545243000
0043c00000
4865776c6574742d5061 80c6754524
30000043c0
636b61726420436f6d70 000080c625
616e7900006465736300 4524300000
43c0000080
00000000000012735247 c746578740
0000000436f
ffd8ffe000104a
ffd8ffe00010
4649460001020
4a464946000
1009600960000f
10201009600
fe20c584943435
960000ffe20c
f50524f46494c4
584943435f50
500010100000c
524f46494c45
484c696e6f0210
00010100000
00006d6e74725
c484c696e6f0
Rule Financial
247422058595a
21000006d6e
101
Moorgate
2007ce0002000
74725247422
London
9000600310000
058595a2007c
EC2M
6SL
UK
616373704d534
e0002000900
Tel: +44 (0) 20 7826
6540000000049
06003100006
4444
Fax: +44 (0) 20
7826
4440
4543207352474
16373704d53
marketing@rulefinancial
2000000000000
46540000000
.com
Rule
Financial is a leading UK independent
www.rulefinancial.com
0000000000000
04945432073
provider of business consulting, IT services and
000f6d60001000
52474200000
bespoke
technology to the banking and
investment
communities. Employing over 230
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00000000000
staff at its London headquarters and nearshore
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00000000000
development
facilities in Spain and Poland, the
company
counts the worlds foremost financial
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institutions among
clients.standards and
Exceptional
people,its
rigorous
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over a decade of hardwon experience have
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given
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the company a strong competitive edge
in this constantly changing market.
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Rule has extensive experience developing
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robust
capital markets solutions using Microsoft
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ensure its solutions follow best practices and
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maximise
their technology potential. Rule has
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developed
a bespoke line of business
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applications ranging from highly flexible Webc4500010100000c484c696e6f02100000
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solutions, to smart clients with rich
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functionality. Its consultants have extensive
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experience across the breadth of Microsoft
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product
offerings including the .NET
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Framework,
ASP.NET, Visual Studio, WPF,
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Silverlight, C++, SharePoint, Excel and SQL
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ScaleOut Software
60031000061637370
10900 NE 8th
Street Suite 900
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Bellevue WA
94543207352474200
98004 USA
00000000000000000
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Dan McMillan, VP, Sales
Tel: +1 503 643 3422
00000000d32d48502
Fax: +1 509 753 9460
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danm@scaleoutsoftwar
e.com
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www.scaleoutsoftware.c
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om
EMEA and APAC contact: David
Brinker, COO Tel: +1 503 643 3422
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daveb@scaleoutsoftware.com
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ScaleOut Softwares data grid solutions drive
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the next generation of application performance
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for grid computing. Its Windowsnative
distributed caching spans the cluster to provide
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grid applications with fast, inmemory data
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access
for features
high performance.
Advanced
for gridbased applications,
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such as parallel data query and method
invocation, extend the power of distributed
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caching to simplify program structure and
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shorten design cycles. ScaleOut StateServers
unique, highly integrated and selfmanaging
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design makes distributed caching easytodeploy
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and use.
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02474656368000004
300000000c7254524
30000043c0000080c
675452430000043c0
000080c6254524300
00043c0000080c746
ffd8ffe000104a4649
46000102010096009
60000ffe20c5849434
35f50524f46494c450
0010100000c484c696
e6f021000006d6e747
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Singularity
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Capital Markets
division 100 Patrick
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Street Derry BT48
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7EL Northern
Ireland
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Philip Mills, Account
Manager Tel: +44 (0) 20
0000d32d485020200
7826 4470 Fax: +44 (0)
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20 7826 4480
sales@singularity.co.uk
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www.singularity.co.uk
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US contact: Nino Stimac, Account
Manager Tel: +1 212 203 9360
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APAC contact: Andy Lim, Account
00000000116370727
Manager Tel: +65 9616 7732
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Singularity provides business process agility
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software and services that equip financial
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market businesses to streamline operations,
realise
efficiencies,
and increase
effectiveness.
Over
100
financial institutions
globally
rely on
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Singularity to deliver process agility and
0147258595a000002
efficiency. In the frontoffice it improves
efficiency and effectiveness of peopleintensive
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processes such as onboarding a new customer,
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handling a customer subscription or
redemption, or dealing with a customer
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complaint. In the backoffice it improves straight
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through processing rates while equipping
people to handle
exceptions
efficiently
and
Singularitys
business
process
management
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flexibly. the Singularity Process Platform,
software,
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equips companies for rapid process
automation. The platform is built on Microsoft
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technologies, including MSOffice, SharePoint,
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Dynamics CRM and BizTalk.
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Case study: JPMorgan Investment
Bank
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0000146d656173000
0040c000000247465
63680000043000000
00c72545243000004
3c0000080c67545243
0000043c0000080c62
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0080c746578740000
ffd8ffe000104a4649
46000102010096009
60000ffe20c5849434
35f50524f46494c450
0010100000c484c696
e6f021000006d6e747
25247422058595a20
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SunGard
0310000616373704d
Capital Markets & Investment Banking
division 25 Canada Square London E14
53465400000000494
5LQ UK
54320735247420000
00000000000000000
0000000f6d60001000
Jane Boorman, Head of Strategic
Alliances and Business Development
00000d32d48502020
Tel: +44 (0) 20 8081 2779
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jane.boorman@sungard.com
www.sungard.com
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SunGard provides solutions for todays
investment banker. Whether its controlling
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the cost of trading or organising
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settlements, theres a SunGard solution for
SunGards
marketsbanking.
and investment
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every kind capital
of investment
b
banking
solutions include:
74000001500000003
Supporting crossasset trading and trading
36465736300000184
s
strategies
with Front Arena
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Assisting enterprisewide, market, and credit
risk management with Adaptiv, which is used
00001f000000014626
by 12 of the worlds top 25 banks.
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00147258595a00000
21800000014675859
5a0000022c0000001
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00000014646d6e640
00002540000007064
6d6464000002c4000
00088767565640000
034c0000008676696
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65636800000430000
0000c725452430000
043c0000080c675452
430000043c0000080c
625452430000043c0
000080c7465787400
ffd8ffe00
ffd8ffe00010
0104a464
4a464946000
94600010
1020100c800c
20100c800
80000ffe20c5
c80000ffe
84943435f505
20c584943
24f46494c450
435f50524
0010100000c
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484c696e6f02
Thomson Reuters
00010100
1000006d6e7
Thomson
Portia
22
Thomson
000c484c6
47252474220
Place Boston
96e6f0210
58595a2007ce
MA
02210 USA
00006d6e
00020009000
74725247
60031000061
Tel:
+1 617 856 2700 Fax: +1 617
824
2580 portia@thomson.com
42205859
6373704d534
http://portiaservices.thomsonfinanci
5a2007ce0
65400000000
al.com
00200090
49454320735
EMEA contact: Bruno Ballardin, Regional
00600310
24742000000
Managing
Director, EMEA and Asia Tel:
+44
(0) 20 7542 5730
00061637
00000000000
bruno.ballardin@thomsonreuters.com
3704d534
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US
contact: Craig Lange, Americas Account
65400000
6d600010000
Director Tel: +1 617 856 5318
00049454
0000d32d485
craig.lange@thomsonreuters.com
32073524
02020000000
APAC contact: Danny Li, Asia Sales,
74200000
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Director Tel: +852 3762 3463
00000000
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danny.li@thomsonreuters.com
00000000
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Thomson Portia is a wholly owned subsidiary of
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Thomson
Reuters, a leading source of
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intelligent
information. Thomson Portia offers
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00000000000
the investment industry powerful and
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000000d3
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comprehensive
enterprisewide investment
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0009000600310000616373704d534654
accounting systems, which automate the
2d485020
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trading, analysis and operations of roughly 300
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money
managers in 43 countries and manage
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roughly US$15 trillion. The company also
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provides buyside professionals the tools to
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manage
daily transaction
activity and
to on
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The
customisable
Portia Workspace
runs
efficiently
report
and returns
to
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both
Windows
XPactivities
and Windows
Vista and
00000000
00336465736
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management,
clients .NET
and regulators.
utilises the Microsoft
Framework 3.0.
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00000000
30000018400
Additionally,
Portia is optimised to run on the
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Microsoft
SQL database. This technology has
00000000
00006c77747
6258595a0000024000000014646d6e64
had a dramatic effect on improving efficiency,
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00000000
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optimising
workflow across the organisation,
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and
simplifying daytoday activities.
00000000
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000003f8000000146d6561730000040c0
000002474656368000004300000000c7
00000000
70740000020
Case
study:
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ING
00000000
40000001472
000043c0000080c625452430000043c0
000080c7465787400000000436f707972
00000000
58595a00000
69676874202863292031393938204865
776c6574742d5061636b61726420436f6
00000000
21800000014
d70616e7900006465736300000000000
11637072
6758595a000
00012735247422049454336313936362
d322e310000000000000000000000127
74000001
0022c000000
35247422049454336313936362d322e3
10000000000000000000000000000000
50000000
146258595a0
00000000000000000000000
ffd8ffe0001
ffd8ffe000104a46
04a4649460
0010201009
494600010201009
600970000ff
e20c584943
600960000ffe20c5
435f50524f4
84943435f50524f4
6494c45000
10100000c4
6494c4500010100
84c696e6f02
1000006d6e
000c484c696e6f02
7472524742
1000006d6e74725
2058595a20
07ce000200
247422058595a20
0900060031
Trintech
0000616373
07ce00020009000
Warnford Court 29
704d534654
Throgmorton
0000000049
600310000616373
Street London
4543207352
704d53465400000
EC2N 2AT UK
4742000000
0000000000
000494543207352
0000000000
00f6d600010
474200000000000
Carol Orr, Marketing
0000000d32
Manager
Tel:
+44
(0)
20
000000000000000
d485020200
7628 5235
0000000000
00f6d6000100000
0000000000
carol.orr@trintech.com
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www.trintech.com
000d32d48502020
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US contact: Hilliary Opseth, Marketing
0000000000
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Manager Tel: +1 972 739 1619
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hilliary.opseth@trintech.com
000000000000000
0000000000
0000000000
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Trintech is a leading global provider of financial
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0001163707
software and has mapped its software
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2740000015
architecture, utilising the Microsoft .NET
000000000000000
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Framework, onto the latest Microsoft
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technologies. Its solution suite provides an
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0018400000
effective endtoend automated system for 06c7774707
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reconciliation, exception management,
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compliance and risk management, and is 000014626b
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7074000002
deployed in over 600 leading companies
646573630000018
0400000014
Case study: Lloyds TSB asset
worldwide.
7258595a00
Case study:management
American Express
40000006c777470
0002180000
Bank
0014675859
74000001f000000
5a0000022c
014626b70740000
0000001462
58595a0000
020400000014725
0240000000
14646d6e64
8595a0000021800
0000025400
000070646d
0000146758595a0
6464000002
000022c00000014
c400000088
7675656400
6258595a0000024
00034c0000
0086766965
000000014646d6e
77000003d4
640000025400000
000000246c
756d690000
070646d64640000
03f80000001
46d6561730
02c400000088767
000040c000
0002474656
565640000034c00
3680000043
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00000000c7
2545243000
00003d400000024
0043c00000
80c6754524
6c756d69000003f
30000043c0
8000000146d6561
000080c625
4524300000
730000040c00000
43c0000080
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024746563680000
0000000436f
ffd8ffe00010
4a464946000
10201009600
960000ffe20c
584943435f5
0524f46494c
45000101000
00c484c696e
Vhayu Technologies
6f021000006
100 Cooper
Court Los
d6e74725247
Gatos CA
422058595a2
95032 USA
007ce000200
Shanti Dev, Head of
09000600310
Sales Tel: +1 408
354 9810 Fax: +1
00061637370
408 354 9820
4d534654000
shanti@@vhayu.com
www.vhayu.com
00000494543
EMEA contact: Tim King, Director of
20735247420
Sales, EMEA Tel: +44 (0) 20 7070 2164
tim.king@vhayu.com
00000000000
00000000000
APAC contact: Ty Inoyama, Senior
Consultant Tel: +81 3 5456 5306
00000f6d600
ty.inoyama@vhayu.com
0100000000d
32d48502020
Vhayu delivers the fastest market data
solutions for the capture and highspeed
00000000000
analysis of massive amounts of streaming and
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historical data, to the world's leading financial
institutions. Through its unique patented
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Velocity and Squeezer technologies, Vhayu
combines software and hardware to provide
00000000000
significant competitive advantages to financial
00000000000
firms concerned with the processing and
storage of tick data by enabling faster and
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smarter
trading
decisions.
Vhayu
Velocity
Partnered
with some
of theThe
worlds
leading
00000000000
tick
database
provides
advanced
technology
and
financial
services 64bit
Windows and Microsoft
Visual Studio
V8 eight
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organisations,
Vhayu's customers
include
support.
of the top ten global financial institutions, the
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leading online discount broker, the largest
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financial information provider, major hedge
funds
systems
Vhayuand
wastrading
founded
in 1998vendors.
by Intel
50000000336
technologists. Headquartered in Silicon
46573630000
Valley, the company also has offices in New
York, London and Tokyo.
01840000006
c7774707400
Case study: Royal Bank of Canada (RBC) Capital
Markets ABN Amro Capital Markets
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014626b7074
00000204000
00014725859
5a000002180
00000146758
595a0000022
c0000001462
ffd8ffe0001
ffd8ffe000104a464946 04a4649460
0001020100960096000 0010201009
600960000ff
0ffe20c584943435f5052 e20c584943
4f46494c450001010000 435f50524f4
6494c45000
0c484c696e6f02100000 10100000c4
84c696e6f02
6d6e747252474220585 1000006d6e
7472524742
95a2007ce0002000900 2058595a20
07ce000200
0600310000616373704
0900060031
Visual Numerics
0000616373
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2500
704d534654
Wilcrest
4320735247420000000 0000000049
Suite 200
4543207352
0000000000000000000
Houston TX
4742000000
0000000000
77042 USA
00f6d6000100000000d3
0000000000
00f6d600010
2d48502020000000000
Tel: +1 713 784
0000000d32
3131
Fax:
+1
713
0000000000000000000 d485020200
781 9260
0000000000
0000000000000000000
0000000000
info@vni.com
0000000000
www.vni.com
0000000000000000000
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EMEA contact: Greg
0000000000
0000000000000000000
ORorke, International
0000000000
Territory Manager Tel:
0000000001163707274
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+44 (0) 118 963 7745
0000000000
0000015000000033646
0000000000
gororke@vniuk.co.uk
US contact: Andy McClure, Director of Sales,0001163707
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2740000015
North America Tel: +1 925 831 0503
6c77747074000001f000
0000000336
amcclure@vni.com
000014626b707400000 4657363000
0018400000
APAC contact: Toshitomo Kobayashi,
06c7774707
204000000147258595a
Country Manager/Representative
4000001f000
000014626b
0000021800000014675
Director Tel: +81 352 117 760
7074000002
kobayashi@vnij.co.jp
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0400000014
7258595a00
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Visual Numerics develops leading edge data0002180000
analysis and visualisation solutions for
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technical, business and scientific communities
5a0000022c
025400000070646d646
worldwide. Visual Numerics data analysis 0000001462
product, the goldstandard IMSL Numerical 58595a0000
4000002c40000008876
Libraries in C, and C# for .NET and Fortran, 0240000000
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7565640000034c00000
leverages Microsoft architectures including the
0000025400
desktop,
Windows
HPC
Server
2008,
F#
and
Visual Numerics partners with Microsoft to 000070646d
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IronPython.
provide
advanced analytic solutions and
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000000246c756d69000
services for Financial Services and Capital c400000088
7675656400
Markets that are unsurpassed in the industry.
003f8000000146d65617
00034c0000
Financial applications that can be built using
0086766965
30000040c0000002474
the IMSL Libraries include: risk management;
77000003d4
portfolio optimisation; forecasting; fixed
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000000246c
income analysis; trading strategy optimisation;
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00c725452430000043c0
03f80000001
interest rate modelling; and equity price
46d6561730
modelling and analysis.
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000040c000
Case study:
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NextSigma
3680000043
0000043c0000080c7465 00000000c7
787400000000436f7079 2545243000
0043c00000
7269676874202863292 80c6754524
30000043c0
031393938204865776c 000080c625
6574742d5061636b617 4524300000
43c0000080
26420436f6d70616e790 c746578740
0000000436f
ffd8ffe000104a46
ffd8ffe000104a
494600010201009
4649460001020
500950000ffe20c5
1009600960000
84943435f50524f4
ffe20c58494343
6494c4500010100
5f50524f46494c
000c484c696e6f02
4500010100000
1000006d6e74725
c484c696e6f021
247422058595a20
000006d6e7472
Volant Technologies
07ce00020009000
5247422058595
41
East 11th
Street
11th
600310000616373
a2007ce000200
Floor New York
704d53465400000
0900060031000
NY
10003 USA
000494543207352
0616373704d53
474200000000000
4654000000004
Tel:
+1 212 905
6231
000000000000000
9454320735247
info@volantetech.
00f6d60001000000
4200000000000
com
Volant
Technologies is an innovative data
www.volantetech.
00d32d485020200
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management
solutions company serving the
com
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0000f6d600010
capital
markets industry. Its proven solutions
accelerate
data integration for asset managers,
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0000000d32d48
broker dealers, stock exchanges, service
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providers
and industry utilities. They also run
on
the .NET and BizTalk platforms to enable
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rapid integration of Microsoft solutions with
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heterogeneous
protocols,
applicationsset
andof
Volants
rich, financial
domainaware
middleware
platforms.
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prebuilt
components
coupled with its awardwinning integrated development environment
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0000000000000
has attracted customers, system integrators
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0000000000000
and
independent software vendors across the
financial industry due to its ease of use and
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comprehensive features. Volant is a Swift
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0000000001163
partner
and
is certified
in thetomessaging
Volants
solutions
are easy
maintain, data
are
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services
category.
highly
reusable
and selfdocumenting, enabling
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4000001f00000001
7072740000015
lower maintenance costs and providing better
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0000000336465
6d6e74725247422058595a2007ce0002
overall
business agility.
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040000001472585
7363000001840
00000000494543207352474200000000
00000000000000000000f6d600010000
95a000002180000
000006c777470
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00000000000000000000000000000000
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00000000000000000000000000000000
0022c0000001462
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00000000000000116370727400000150
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0000020400000
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WealthCraft Systems
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Sales and Marketing
division Unit A 9/F On
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Hing Building 1 On Hing
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Terrace Central Hong
Kong
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Cliff Harkins, EVP Tel:
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+852 3585 3399
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cliff.harkins@wealthcraft
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www.wealthcraft.com
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WealthCraft Systems is an IT company that
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flexible, scalable and secure technology
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platform for wealth management services
primarily for financial institutions. These
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brokerage firms, retail and private banks,
mutual
fund companies
and insurance
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WealthCraft's
principal business
solution,
companies.
Advisor
Workbench (AWB), tightly integrates
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with Microsoft Dynamics CRM to give financial
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professionals the tools and services required to
develop and expand their wealth management
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business within the familiar Microsoft
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environment. AWB's software and services
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customer relationship management, financial
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planning, investment research, portfolio
management and trade execution allowing
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financial institutions to enhance customer
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strengthen
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Atoms Order
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assets under management.
Management,
an integrated backoffice
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system, which provides order execution, order
management and portfolio and commission
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management. Based on Microsoft BizTalk
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Server is Atoms SwiftNet Funds Gateway, a
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financial institutions to become SwiftNet
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enabled to send and receive SwiftNet
messages.
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Xenomorph
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36 Old
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Jewry
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London
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UK
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Brian Sentance, CEO
Tel: +44 (0) 20 7614
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8600 Fax: +44 (0) 20
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7614 8601
bsentance@xenomorph
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.com
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www.xenomorph.com
US contact: Naj Alavi, Managing
Director Tel: +1 888 936 6457
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nalavi@xenomorph.com
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APAC contact: Matthew Skinner,
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Director Tel: +44 (0) 20 7614
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leverage clients proprietary expertise,
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Security master
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XSP
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Grandview
Parkway
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Birmingham AL
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USA
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Tel:
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Fax: +1 205
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439 5769
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dretzer@xsp.com
www.xsp.com
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EMEA and APAC contact: Neil Sheppard,
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COO,
EMEA Tel: +44 (0) 20 7959 2400
nsheppard@xsp.com
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US contact: John Kehoe, Director, Business
Development
and Account Relationship
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Management Tel: +1 646 300 6808
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jkehoe@xsp.com
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XSP is a leading provider of corporate actions
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services
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stateoftheart solution developed to automate
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each step in the processing of corporate
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actions.
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management
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capture,
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immediate
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return on investment with XSPs
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flexible
modular
rulesbased
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Engineered
usingapproach
advancedand
Microsoft
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workflow
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technologies,
the XSP v5 platform is built
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around
a service oriented architecture
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using
.NET technology (including the
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global
enterprisewide processing. This highly
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architecture provides a flexible
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solution for integrating the platform with a
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Trading,
research,
risk,
productsolutions
control, IT
wide
range
of legacy
financial
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and
backoffice
staff use
TimeScape
at
including
leveraging
Microsofts
BizTalk
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investment
hedge
funds and
asset
Accelerator banks,
for Swift
to integrate
with
the
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management
across
the worlds
Swift
Alliance institutions
Network. The
Microsoft
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main
financial
centres.
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Library
provides a robust platform
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for meeting a variety of enterprise
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Case
study:
requirements
for solutions architectures.
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xenomorph.com
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Tel: +1 781 272
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sales@xinn.com
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Capital Markets Partner Guide 09

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ffd8ffe00010

unprecedented destruction of capital in their lifetime, established and battle

challenges in maximising the profitability of

institutional clients. Microsoft has developed

TRADING FOR PROFIT OR TRADING TO

Capital Markets Partner Guide 2009

FINANCIAL SERVICES ENTERPRISES WANT TO

DIFFERENTIATE BY PROVIDING MORE HOLISTIC AND

DIRECTOR, WORLDWIDE ADVISOR PLATFORM, MICROSOFT

Microsoft server technologies..

THE TIME MIX

WE WANT TO GROW OUR COLLECTIVE KNOWLEDGE

BRAD PRODGER, DIRECTOR, WORLDWIDE ADVISOR PLATFORM,

when the customer has

OPEN ALL HOURS

Advisor Platform is that those

For Prodger, this rate of growth

advisors wherever they

services, while partner applications

thought leaders who are picking

Advisor Platform comes in many

and with plans to make the solution

e you look, customers are

benefiting from an increasing

number of channels and choices,

and making businesses work harder

dealers are seeing decreasing

wealth management, and similarly

credit crunch bites, banks are trying

COMMUNICATION, INFORMATION, INTEGRATION

example of this, one only has to

The calibre of the partners and their

territory, as new exchanges enter

Capital Markets Partner Guide 2009

priorities. One area in which firms

consolidation, and hardware optimisation.

THE EXPONENTIAL GROWTH IN THE AMOUNT OF

DATA A FINANCIAL FIRM MUST PROCESS AND THE

Capital Markets Partner Guide 2009

adds Williams. Consequently,

directly addresses the

TRADING FOR PROFIT

TECHNOLOGIES CAN HELP TRADERS TO FOCUS ON WHAT

being creative and innovative

in unlocking value via trades based

these functions assume great

Rule 610, which addresses access to

Rule 611, which provides intermarket price

Market data management.

Rule 612, which establishes minimum

Amendments to the jointindustry plans and

Hence the need to collect, store,

Microsofts collaborative solutions

6070 per cent decrease in time to create

MANY WEALTH MANAGEMENT ORGANISATIONS WANTING TO CAPITALISE ON

new client demands and

competitive challenges. To deliver

Since implementation, Dynamics

contact management system

CARLSON CAPITAL MANAGEMENT

Security Benefit realised that

RAYMOND JAMES FINANCIAL

Capital Markets Partner Guide 2009

before it could view the big picture