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<td><p align="center"><font face="Trebuchet MS" size="4"><font
face="Verdana, Arial, Helvetica, sans-serif" size="1"><a href="consulting.htm">Project
& Design Consulting</a> l <a href="implement.htm">Design & Implementation </a>l <a
href="products.htm">Products</a></font> </font></td>
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<p><b><font face="Verdana, Arial, Helvetica, sans-serif" size="2">Products</font></b> <ul>
<li><font face="Verdana, Arial, Helvetica, sans-serif" size="2">Trade Surveillance &
Compliance</font></li>
<li><font face="Verdana, Arial, Helvetica, sans-serif" size="2">TradeWatch<font size="1"><sup>TM</sup></font></font></li>
<li><font face="Verdana, Arial, Helvetica, sans-serif" size="2">TradeDB<font size="1"><sup>TM</sup></font></font></li>
<li><font face="Verdana, Arial, Helvetica, sans-serif" size="2">TradeWare<font size="1"><sup>TM</sup></font></font></li>
<li><font face="Verdana, Arial, Helvetica, sans-serif" size="2">Loan Securitization: SASS<font
size="1"><sup>TM</sup></font> - Syndications and Asset Sales System</font></li>
</ul>
<p><font face="Verdana, Arial, Helvetica, sans-serif" size="2"><b>What is TradeWatch<sup><sup><font
size="1">TM</font></sup>?</b><br>
TradeWatch<font size="1"><sup>TM</sup></font> is an electronic trade monitoring system
which offers the compliance department an online tool that enables them to satisfactorily
meet the various regulatory sales practice requirements and Firm policies. The system is
intended to provide the Firm with a level of protection beyond the reporting capabilities
of most brokerage companies. TradeWatch<font size="1"><sup>TM</sup></font> provides the
various reports to allow the reviewers to concentrate their efforts on ensuring compliance
with deferral, regulatory and Firm requirements. In short, TradeWatch<font size="1"><sup>TM</sup></font>
provides the means for the Firm to prudently control risks with a system that is easily
adaptable to suit business needs.</sup></font></p>
<p><font face="Verdana, Arial, Helvetica, sans-serif" size="2"><b>What Does TradeWatch<font
size="1"><sup>TM</sup></font> Do?</b><br>
TradeWatch<font size="1"><sup>TM</sup></font> is designed to automate the intricate
process of detecting potential red flag items that fall under the scope of various
regulatory rules and/or Firm policies. For example:</font><ul>
<li><font face="Verdana, Arial, Helvetica, sans-serif" size="2">NYSE Rule 476 - (e.g.
actions that are inconsistent with just and equitable principals of trade, fraudulent and
manipulative acts, etc.)</font></li>
<li><font face="Verdana, Arial, Helvetica, sans-serif" size="2">NYSE Rule 401 - (used as a
tool to detect trading in advance of research recommendations)</font></li>
<li><font face="Verdana, Arial, Helvetica, sans-serif" size="2">NYSE Rule 2310 - (e.g. low
priced securities, churning or excessive trading, mutual fund switching, etc.)</font></li>
<li><font face="Verdana, Arial, Helvetica, sans-serif" size="2">NYSE Rule 2440 - (used as a
tool to comply with markup/down policies)</font></li>
</ul>
<p><font face="Verdana, Arial, Helvetica, sans-serif" size="2">The system currently offers
20 predefined exception reports and an ability to customize additional ad-hoc reports.
These ad-hoc reports provide all business units with the ability to analyze their
businesses from several perspectives. For example, reports can be used to focus on al
syndicate deals. After reviewing the results, your attention may then focus on the most
active Firm branches in syndicate deals (from buy and/or sell point of view). Your
attention may subsequently focus on the brokers placing shares from the offerings and
finally the actions of those clients invited to participate in the offering. The Syndicate
Department may further be interested in identifying those clients that frequently flip or
immediately liquidate their shares. The results of these reports can also be used as a
marketing tool to keep clients, through brokers, abreast of upcoming events or offerings.
Several additional features enable the users to drill-down to specific concerns, such as
detecting patterns of potential abuse not normally detectable, since typically the
available exception reports are limited to daily reviews only.</font></p>
<p><font face="Verdana, Arial, Helvetica, sans-serif" size="2"><b>What Technology Does
TradeWatch<font size="1"><sup>TM</sup></font> Use?</b><br>
The cornerstone of TradeWatch<font size="1"><sup>TM</sup></font> is a complete data
warehouse, known as TradeDB<font size="1"><sup>TM</sup></font> that captures daily trades
and positions. The access technology, TradeWare<font size="1"><sup>TM</sup></font> is a
proprietary Openserver/CORBA-based middleware developed by STG and STG's partners.
TradeWare<font size="1"><sup>TM</sup></font> permits access to the data warehouse from
disparate front-end application; coupled with the Netdynamics "Application
Server", permits Internet access. TradeDB<font size="1"><sup>TM</sup></font> includes
a set of extractors and loaders that enable fast loads of back-office data into a
proprietary trade database schema implemented with Sybase "Adaptive Server".
Presently, these loaders handle ADP file formats, but because of the use of a meta-data
design, can readily be customized to support other vendor files.</font></td>
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