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Order
Entry and Order Routing |
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| Average Price |  |  |
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| Basket Trade Entry And Monitoring | |
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| Buy/Sell | |
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| Create Order Based on What-if Analysis | |
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| Hot Issue (IPO) | |
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| Import Orders from Analytical Systems | |
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| Intra Company Deal Match / Cross |  |
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| Inter-Deal Cross (Single Issuer in Multiple Transactions) |
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| Market Impact Analysis On Order Blotter | |
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| Merge One or More Orders Into a New Order | |
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| Open/Close Forwards | |
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| Open Close Futures | |
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| Option Expiration | |
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| Order Entry Based on: | ||||||||||||||
| -Percentage |  |
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| -Shares | |
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| Pairs Trading | |
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| Purchase Exercise Options | |
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| Repo/Reverse Repos | |
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| -Track Brokers Receiving/sent to collateralize transactions |
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| Route Order | |
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| -Based on Best Price | |
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| -To Counter Party Via FIX | |
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| -To DOT /Super DOT | |
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| -To ECN | |
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| Ruled Based Execution Strategy Support | |
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| Short Sale/Cover Short Sale | |
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| Split Single Ticket into two Orders | |
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| Spreads | |
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| -Automatic Spread Calculation | |
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| -Execution of Orders Based On Spread | |
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| Stock Loan Transactions: | ||||||||||||||
| -Loan/Borrow | |
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| -Buy/Sell Back | |
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| Time Enforced Support (Day, GTC, Limit) | |
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| Time/Date Stamp Orders | |
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| Trader Definable Algorithms | |
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| VWAP Trade Executions | |
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| Processing
& Automation |
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| Automated Trade Feed to OASYS | |
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| Automatic Pro-RATA Allocations |  |
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| Automatic Random Allocations | |
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| Automatic Swap Deal Event Schedules | |
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| Import Trade Executions: | |
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| -Dot/Super DOT | |
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| -ECN's | |
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| -Via FIX from Counter parties | |
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| -"One Way or NOE" From Broker Dealer | |
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| Feed To Portfolio Accounting System: | |
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| -Daily Batch Feed | |
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| -Intraday Batch Feed | |
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| -Real-Time Trade Feeds | |
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| Cash
Processing |
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| Cash Balance Updating | |
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| Margin Monitoring | |
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| Monitor Cash Availability | |
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| Automatic Generation of Cash Transactions | |
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| Automatic Generation of FIX Transactions | |
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| Pricing
Corporate Actions |
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| Automated Corporate Actions Feed | |
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| Automated Pricing Feeds | |
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| Convertible Exchange Processing | |
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| Dividend Processing | |
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| Haircuts | |
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| Interest Processing | |
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| Manual Pricing | |
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| Merger, Split, Spin-Off & Tender Offers Processing | |
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| Pricing Calculators: | ||||||||||||||
| Options: | ||||||||||||||
| -Black-Scholes | |
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| -Binomial Tree | |
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| -Trinomial Tree | |
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| -Barrier Options | |
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| -Historical Volatility | |
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| Fixed Income | |
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| Convertibles | |
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| Warrants | |
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| If Checked, Please refer to vendor fact sheet | |
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| Commission |
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| Commission Tracking | |
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| Commission by Broker | |
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| Soft Dollar Tracking (Versus Budget) | |
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| Position
Update and Maintenance |
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| Online Position Inquiry | |
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| Collateralize Securities | |
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| Tax Lot level processing | |
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| Risk |
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| Simulated Execution Capability | |
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| Scenario Analysis | |
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| Compliance |
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| Account Velocity: | |
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| Approve
executed "One Way Or NOE" Trades from B/D |
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| Auto Execution Abuse | |
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| Cancelled Trades | |
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| Flip Trades | |
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| Limit Order: | ||||||||||||||
| -Display Timelines | |
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| -Execution Timelines | |
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| -Protection | |
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| Locked And Crossed Markets | |
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| Market Order Execution Timeliness | |
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| Price Disimprovement | |
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| SEC Rule
11Ac1-5 & 11Ac1-6 order Execution Statistics |
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| Short Sales | |
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| Significant
3rd Party Activity-Listed Issues(1% CQS Rule) |
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| -Unexecuted Marketable Orders | |
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| Audit Trails by User | |
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| Behavior Detection: | ||||||||||||||
| Lower Price Securities | |
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| Restricted Account Activity: | |
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| -144 Restricted | |
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| -Concentration | |
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| -Hot Issues | |
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| -Sin Stocks | |
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| Security
Quality in relations to Acct Risk Tolerance |
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| Cover ERISA guidelines | |
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| Create custom compliance rules | |
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| Money Laundering: | |
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| -High Risk Geographies | |
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| -High Risk Entities | |
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| Pre-Post Trade Notification
of Compliance Violations |
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| Pre-Packaged Compliance Rules | |
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| Pre-Trade Compliance
At Time of Order |
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| Violation resolution
and supervisor override |
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| Other(s) Please refer
to vendor fact sheet |
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