April 10, 2023

Financial Market Offering for Broking Houses and Stock Exchanges

Agenda

1 Corporate Overview

Product and Solution offering2

3

4

5

6

Solution overview – Front office Trading and Risk Management for Broking House

Solution overview – Back office for Broking House

Solution overview – Exchange Match Engine & Risk Management

Solution overview – Exchange Surveillance

7 Implementation Methodology & Project team structure

8 Support Process overview

Corporate Overview & Company Profile

About Us

Corporate Overview

Apex SoftCell (India) Pvt. Ltd. was incorporated at Bombay on 31st December 1992 with a brand name of "LIDHA DIDHA". LIDHA DIDHA is derived from a Gujarati Word which means Buying & Selling. The Company formed to carry out Broking Back-Office Software Solutions for Sub Broker's in India. Later on we developed Software for Brokers in India with a Centralized Management System. Currently We offer range of products for Brokers & Exchanges which varies from Front office / Mid office / Back office, Trading & {Match} Engine's for Exchange, Surveillance for Exchange, RMS Platform for Brokerage House & Exchanges with Latest Technology in Place.

We create solutions that enable our clients to increase their operational efficiency & accelerate their growth. Our systems improve significantly the accuracy, speed and effectiveness of the working processes, allowing our clients to focus more resources on their core business objectives.

Corporate Vision

TO BE THE MOST RESPECTED & PREFERRED Software Solution Company IN THE MARKETS WE OPERATE.

Our Values

Since 1992 Apex has grown from two employees to One Hundred and fifty employees .We have been guided throughout this growth by the values established by our founders. We cherish these values and practice them in all our interactions.

Corporate Vision & Value

Our Expertise

Loyal customer base, satisfied with our services 1000+ customers across India

1 •Product & Solution development in Financial Market

2 •Certified Professionals (Technology / Domain & Project Management)

3 •Strong domain expertise in Financial Market

4 •Industry Best Practice and Certification•ISO Certification , Internal quality Management System

Significant Players in the Product Space

¨ Exchange - Matching Engine

¨ Exchange - Risk Management

¨ Exchange - Surveillance

¨ Front office (Trader Work Station)

¨ Online Trading (Web based Trading Platform)

¨ Risk Management

¨ Broker Back-office

¨ Depository Back-office

¨ Franchisee Management

¨ Mobile Back office

¨ Digital e-signing report

¨ IVR

¨ Scheduler

¨ Live Trade Monitor

¨ Portfolio & Wealth Management System

Capital Market Solution Product Credentials

¨ Market leaders in Broker back-office and Risk

Management solution

¨ More then 1000 + Installations.

¨ Develop 11 products in capital market domain.

Committed & focused in product and solution designing

/ development.

¨ Continuous technology migration / upgradation which

give us edge against other competitor.

¨ Processing more then 2 million trade transactions with

DB persistence in around 3-5 minutes with more then

2000 branches are logged in.

¨ Managing historical information of more then 3 TB for

past report generation. Historical reports are generated

with in few seconds

¨ End to End solution for Capital Market space

Strengths20+ years of experience in Broking Solution.

Highly Qualified Product / Solution Team

Focused on Capital MarketRich Domain ExpertiseCertified Specialists on board

APEX SoftCellMarket Leader in Back-office and Risk Management Solution24 / 7 Support team available to help customer

More than 1000 satisfied customers of Back-office and Risk Management solution (both in India and Abroad)

AdvantagesSupports various asset class like equity, derivatives, currency & Commodity

Integrated solution for Trading, Risk Management , Surveillance and back-office.

New Exchange and Markets can be easily added

Functional & Technical Superiority

Easy connectivity to third party system like bank gateway, depository gateway, data vendor etc.

Quick Implementation

Strong and capable support team

Value Proposition

Product Offering

Product Offering

Integrated and comprehensive Exchange solution which enables Exchanges to run their trading operations with inbuilt risk management and collateral management system for equity, derivatives and commodities segment

Matching Engine Surveillance

Surveillance is the process of collecting and analyzing information concerning markets in order to detect unfair transactions that may violate securities related laws, rules and regulations

Risk Management

Risk Analysis and Management System is pro-active, real time solution that provides advanced analytics and quantification of Value at Risk (VaR) It also enables the exchange to effectively identify and mitigate risks associated with traders' portfolios.

This module helps the exchange to keep the track of the cash and cash equivalents deposited by member as margin

Clearing & Settlement

Solution for Stock Exchanges

Priority base matching algorithm

Support Multiple time condition

Circuit breakers, quote management, multiple book type

Benchmark Generation (System define, Member & Instrument

Member, Client & Counter party – Real time data monitoring

Alert Definition & Alert Management

Multi asset products risk computation based on Rules

Margin based alert as hierarchy level (Account Types)

P&L calculation for both open and closed contracts

Margin Computation and margin call functionality

Real time risk analysis with multi dimensional view

Group or individual level calculations

Web console for configuration

High performance , low latency

Multi Thread, In memory calculation or performance

Incident Management (Alert Analysis and Decision making)

Surveillance & Market Manipulation reports

Audit Trail and Security

SPAN and VAR margin computation

Extensive value added reports

Can be integrated with any third party application

Calculations for offsetting contracts

Fund management, Collateral Management, Transfer of Funds

Reports on clearing and statements

Product Offering

Multi market - segment front office trading application to trade in multiple stock exchange simultaneously. The front office application supports both normal as well as algorithm trading.

Front Office Risk Management

Real time and Proactive Risk management for Broking House. Risk manager at broker house can monitor client and dealer risk position in real time environment

Online Trading

Web based Trading solution for broker end clients. Can run on Internet with minimum bandwidth

Back office that keeps track of the relationship and delivers the accounting and settlement that completes the deals. The solution offers complete functionality for mid and back office operations.

Broker Back office

Solution for Brokerage House

Trade in multi market, product from single screen

Fully customizable market-watch screen / columns and font

Order book, trade book, net position book. MBO & MBP View

Risk Manager can square off all open Position with single click

Enables users to set their own formula for defining and risk

Brokerage and other statutory charges calculation

Internet based Front office for trading in multiple exchanges

Market watch to view price updation from exchange

Covering full facets of Financial Accounting module

Handle Multi Company, Multi Branch, Multi Segment

Order book, trade book and net position view

Flexible modes of Security – Firm level, menu level, client level

Option trading strategies, Option calculator to calculate fair price

Real time SPAN & VAR margin validation.

Auto Square off, Panic withdrawal, Offline order entry

SPAN, & VAR margin calculation at client and broker level

Risk manager can view real time updation of margin and exposure

Extensive MIS reporting modules

Market Depth and Market By Price view

Directly connected to Bank account for margin verification

Offline order entry option. Highly secure and safe

Flexible Brokerage and commission Sharing

Interface with multiple system for Risk , DP, STP etc…

Complete Demat Automization. Detailed Audit trail and reporting

Customer…. Partial List

Solution overview – Exchange Match Engine

Broadcast Management

Market information is collated by Broadcast Manager and disseminated by the

Broadcast Server

Core Application Server

Order Rules Engine

Order validation Rules Engine against all combinations

Matching Engine

Core order matching and trading engine functionality (Matching by

priority)

Framework Services

Web Services

Web services for interactive messaging

DAL Interface

Common calls for access to database with security

Security FrameworkAccess Control List, User account management, group management, encryption methods

Sockets

TCP/IPMulticast / UDP socket

implementations

Business Layer

Implementation of business logic for time, price, Quantity conditions for

different market types

Session Management

Allows the exchange to set the order & timing of sessions

MOM

Message Bus / Queue management for interactive

messaging

Utility

Globally used utility classes and methods, global exception handling

Risk Management

Maintains real-time client’s positions, exposure, margins and various other

parameters required. RMS Logger for real-time logging of orders and trades

Database Servers

Core Database

Memory Database

Log Database

Third-party Integration Adapters

(Isolates rest of the system from the different formats and types of data received from

outside agencies)

Web-ServicesBespoke APIs

ComPair Match Engine – Framework

ComPair Match Engine – Highlights

• Matching Engine Highlights– Next-generation trading platform– Exceptional reliability– High performance and availability– High Scalability– Very low latency for both interactive & broadcast messaging– Very low load on the infrastructure / bandwidth usage optimized– Compliance with exchange regulations– Both web based and desktop client apps, supports handheld / mobile

devices– Web based statistics & performance monitoring / administration

ComPair Match Engine – Features

• Matching Engine features– iTrade - Match engine is a sophisticated next-generation Real time order

matching engine– Priority - Best Price, Within Price, by time priority– Supports multiple Time conditions like Day, Good Till Day, Good Till Cancel

& Immediate or Cancel– Supports multiple price conditions like Limit Price, Market Price & Stop

Loss Price– Supports multiple Quantity conditions like Disclosed Quantity, Minimum

Fill, All or None and Fill or Kill– Supports multiple market types like Normal / Regular, Odd Lot, Spot and

Auction– Multiple Order Type – Limit, Market, Stop Loss, Negotiated, Spot, Odd-Lot– Supports Multiple Sessions Like Pre-Open, Trading, Closing, Post-Close

(Calculation of Open Price, Close Price and Matching).

ComPair Match Engine – Features

• Matching Engine features– High performance, low latency system that is highly scalable – Optimized to run on parallel processors– Real time risk management and limits verification– Multi-threaded in-memory order matching engine – Exhaustive Business Rules validations– Web console for configuring instruments, members, users, and other

parameters– Day processing (SOD and EOD)– Configurable Matching Algorithm (Time Priority / Quantity Pro-rata

Basis)***– Configurable Circuit Breakers (Halts Trading)– Configurable Price Bands & Session / Market Timings

ComPair Match Engine – Technology

• Matching Engine – Technology – Programming Framework & Tools

• Java Enterprise Edition• Message-oriented middleware - very high performance, clustered, asynchronous

messaging system• SOAP based Java Web Services for interoperability• Supports protocols TCP / IP, Multicast / UDP for exchange connectivity• Highly scalable web based low band width streaming engine for real-time quotes

– Database• Oracle as backend RDBMS

– Server Platform• Java based solution can be deployed on any server platform (Windows, Linux,

Solaris etc).• Apache Tomcat or any JEE Servlet engine

Solution overview - Exchange Surveillance

Surveillance Engine

Surveillance Core EngineTransaction Monitoring

Alert Management

Benchmark Management

Incident Management

Surveillance Reports

Members

Instruments

Counter-Party

Instruments

Members

Index

System Define

Exch. Specific

Investigation

Review

Decisions

Surveillance and Market

ManipulationReports

Core Databases (Data Mining)

Real Time Historical Market Replay Audit Log

Real / HistoricalData

Benchmarks

Alerts

Explain-ed

IncidentMgmt.

Investi- gate

Opened

Discard

Review

DecisionMaking

Real Time Alert

Off-line Alert

User defied

Alert Definition

Surveillance Cycle

Surveillance Frame Work

a) Broker Listb) Client Listc) Counter Party Listd) Custodian Liste) Insider Listf) Alert List

DATA PROCESSING

Data

a) Orders Feed from exchangeb) Trades feed from exchangec) News & Informationd) Clearing House datae) Depository dataf) Corporate Action

SourceProcessing & Decision Making

Suspicion based on news and RumorsThreshold BreachesUnusual Transaction Behavior

Management Reporting Penalties / Action

Alerts/

Incident Repository/ Internal Resolution & Investigation

Surveillance Process Flow

• Surveillance Capabilities– Data Mining & Cross Referencing.– Real time data ingestion for Alert and other analysis– High visual content for faster reaction time– Rules and Algorithm for detection of abnormalities– Benchmarking tools– Incident Management and investigation workflow– Surveillance and Market Manipulation Reports– Security features & Audit Trail

Surveillance Capabilities

• Surveillance highlights– Real-time monitoring of Members position with multi

dimensional view of Counter party, clients and instrument– Real-time Monitoring of instrument position with multi

dimensional view of clients and members– Benchmarking Profiling– Alert definition– Alert Management – Online / Offline– Incident Management– Order Book & Trade Book analysis

Surveillance Product Highlights

• Surveillance Highlights– Market Re-Construction– Alert Rule Engine– Surveillance Reports– Market Manipulation Reports– Analytics – Insider Trading, Circular Trading, Post Order and

Trade Analysis– Top ‘n’ Instrument, Broker analysis– Security– Audit Trail

Surveillance Product Highlights

• Alert Definition– System Define Benchmark– Instrument & Member Specific Benchmark– Visual Benchmark

• Alert Management– Alert Dash-Board– Alert Allocation to Surveillance officers– Alert Status

• Incident Management– Incident Workflow– Investigation / Review – Analysis– Action

Highlights on Alerts

• Workflow– Alert Management

• Review Full Transaction details• Drill down to Orders and Trades level for cross referencing• Note Making (Remarks)• Assignment of Alerts to Surveillance officers• Priority based analysis

– Incident Management• Paperless Incident profile documents• Exception auto routed to staff for analysis• Single repository for evidence documents• Track Incident – For e.g. Open, Under Review, Close etc…• Access Order and Trade data surrounding the exception• Re-construct market condition surrounding the exception• Log Incident for proceedings

Investigation workflow – Alert Analysis to Incident Management

• Important Alerts & Reports– Price Manipulation

• Price Run upwards / Downwards• Spread Contraction• Apparent Trade Activity (Bid – Offer Cancellation)

– Market Abuse• Front Running• Insider Trading• Wash Trades• Pump & Dump

Important Alerts & Reports

• Important Alerts & Reports– Concentration Analysis

• Concentration of Top N Trading Members • Member position exceeds X% of market-wide buy or Sell position

in a specific instrument• Member total trade position in an Instrument (commodity)

exceeds X% of the total Trade position in the market

– Volume Based• Spurt in Trading Volume in a period • Large Trade Quantity, Large Trade Value• Large Order Quantity, Large Order Value

Important Alerts & Reports

Surveillance Technology

– Programming Framework & Tools• Microsoft Windows Presentation Foundation (WPF) ver. 4.5

– MSBuild.– Expression Graphic Designer.– Expression Interactive Designer.– Microsoft Visual Studio.

• .NET Framework 4.5 (C#)• Rich Internet & Desktop application running under Microsoft Windows

and Mac OS X

– Database • Oracle and SQL as backend RDBMS

– Server Platform• Embarcadero RAD Studio XE3 – 64 bit compiler

– Fastest Compiler & Fastest possible development time– Very strong RDBMS support & Multi-threading support for superlative

performance

Solution overview - Broker Front office, online Trading and Risk Management

eQUATE Architecture

Exchange AdaptersExchange Adapters

Exchange A

Exchange B

Other

Broadcast Message Bus (UDP Multicast)Broadcast Message Bus (UDP Multicast)

In-memoryDB

PersistentDB

DP

RMS

Broadcast Server

InteractiveMessaging Server

BO

Fire

wal

l

Client

Interactive Message BusInteractive Message Bus

MOM Server

Client

EQUATE Application LayerEQUATE Application Layer

Interactive MessagingInteractive Messaging Broadcast MessagingBroadcast Messaging

TCP/IP (Sockets)TCP/IP (Sockets)

Message Oriented MiddlewareMessage Oriented Middleware

Message ServiceMessage Service

UDP/IP (Sockets)UDP/IP (Sockets)

Uni-cast / MulticastUni-cast / Multicast

High performance Network Sockets FrameworkHigh performance Network Sockets Framework

Common iTrade Protocol Layer (Adapters)FIX / Proprietary binary / Other

Common iTrade Protocol Layer (Adapters)FIX / Proprietary binary / Other

Application ServersApplication Servers

Dat

abas

eD

atab

ase

Database ServicesDatabase Services

Back Office ComponentsBack Office Components

Web Services Interface to external Components

Web Services Interface to external Components

Interactive ServerInteractive Server Streaming ServerStreaming Server

Perf

orm

ance

Mon

itorin

g /

Dia

gnos

tics

Perf

orm

ance

Mon

itorin

g /

Dia

gnos

tics

eQUATE Framework

eQUATE – Key Component Description

• Exchange Adaptors– Exchange Adaptors will connect To exchange to send & receive messages from the stock exchange. iTrade isolates

exchange-specific functionality into specific adaptors for each exchange. This includes protocol and data type translation between iTrade and the exchange, validation rules, setup and session management, etc.

• Interactive Server– The Interactive Server provides fault-tolerant, guaranteed delivery message routing within the iTrade system, acting

as a hub for delivering messages between the various top-level components such as adaptors, RMS, BO, Trader Workstations and so forth. Interactive Server is built on top of industry-standard message-oriented-middleware (MOM), adding its own application-specific routing logic and security

• Feed Server– Broadcast information received from the exchange adaptors (after decoding) is disseminated to observer components

via the Broadcast Server. Observers may be the RMS, BO, Trader Workstations, or any component that needs to look at the market information such as buy and sell rates, ticker information, index information, etc. that is provided by the exchange via its broadcast feed.

• Risk Management– The RMS is responsible for validating the orders placed by clients via the iTrade system. RMS uses the Interactive

Server to communicate with BO, DP and other sub-systems as well as the Order Management system to maintain each client’s positions and computes exposure, margins and various other parameters required to verify if an order can be forwarded to the exchange for execution or rejected if it does not meet criteria.

eQUATE – Key Component Description

• Back office– The Back Office is a separate system that is not strictly a component of iTrade. The RMS component communicates

with the BO via proprietary interfaces in order to update client positions and holdings information in order for RMS to compute margins, exposure and other parameters.

• Trader work-Station– Trader Workstation Clients are the most visible components of the iTrade system. They are the end-user interface and

provide on-screen market watch, order management, portfolio management, charting and other key user-level functionality. TWS clients connect to the Interactive Server for all communications, and rely on the Broadcast Server for market updates and other critical broadcast information received from the Exchange. TWS clients connect via secure encrypted connections and their sessions are managed by the Interactive Server.

• Administrator– The Administrator module is used to manage the iTrade system, from setting parameters in RMS to managing security

and access levels of all users associated with the system including RMS users, trading accounts (client users), enabling / disabling / suspending users, etc. The Administrator module also provides features for monitoring throughput and performance of all components of the system.

eQUATE – Exchange Connectivity

– Exchange Connectivity Available

South Asia GCC Market (In Process) Africa (In Process)National Stock Exchange for Equity and Derivatives

Dubai Stock Exchange Nigeria Stock Exchange

National Commodities & Derivatives Exchange of India

Abu-Dhabi Stock Exchange Ghana Stock Exchange

National Stock exchange for Currency Derivatives

Tadawul Stock Exchange Kenya Stock Exchange

Bombay Stock Exchange for Equity and Derivatives

Qatar Stock Exchange Cameron Stock Exchange

Multi-Commodity Exchange of India Bahrain Stock Exchange BRVM Exchange

MCX SX Equity Kuwait Stock ExchangeMCX SX Derivatives & CurrencyDhaka Stock Exchange (In process)Chittagong Stock Exchange (In process)

Note – Connectivity with Bloomberg and Reuters for Order routing is in process

eQUATE – Highlights in General

– OS Platform independent. Can work with both windows and Linux.– Modular design helps to connect multiple third party gateway like

Bank, depositories etc…– Integrated Risk Management for limits and exposure verification.– Single application for Dealers, Client and Risk Manager. Application will

work based on user access rights.– Rule based Risk Management.– Real-time Broadcast analysis for publishing Top ‘n’ Lists (Gainers,

Losers, Most Active by volume, Most Active by value) & Intraday Graph.

– Graphical Representation of Data to identify market trends.– Built-in Security Module & Comprehensive Audit Trail.– Optimized for performance and speed - Highly Scalable.– Complete Automation of BOD and EOD Processes.

eQUATE – Trader Work Station Highlights

– Trade in multiple markets and products via a single screen.– Fully customizable touch line/columns/font size etc. – Multiple market watch creation .– Offline Order Entry.– Options Strategies Real time Span Margin – Comprehensive Risk Management for all levels – Broker / Sub Broker/

Franchisee/ Client. – Real-time Interface with Back-office for Collateral/Funds/Stocks Intraday

etc.– View - Exchange Statistics, Market Depth, Market By Order, Top Gainers,

Top Losers , Most Active by Qty/ Value & Intraday and Historical Charts, Index Trends, Multiple Market Depth, Heat Map, Support & Resistance watch.

– Product Creation and RMS pertaining to separate product or multiple products i.e. Delivery BTST, NBFC, Arbitrage etc.

eQUATE – Trader Work Station Highlights

– Technical Analysis and Charting tool – Panic withdrawal and Time Based/Pre Auto/MTM based / Force Square

off – Span margin check at order level – Option calculator for Index Options and Stock Options with Fair Value

Calculator – Highly Scalable Web based low band with streaming engine for real

time rates – Integrated RMS across segments and across exchanges Basket Orders – Net Position View ( Client wise/Scrip wise/Exchange wise) – Encrypted security for user id and password.

eQUATE – Risk Management Highlights

– Real-time risk evaluation of order prior to order placement.– Risk management at “n” levels in the hierarchy.– Real time monitoring of investor, dealer, Branch position.– Different Module for Limit Setup.

• Combined Limit for Multiple Segment and Exchanges • Single Limit for Multiple Segment and Exchanges • Rule Based Limit for Multiple Segment and Exchanges • Exposure ‘N’ Times Limit

– Comprehensive Real-Time Margining.– Inbuilt Margin Manager for calculation of SPAN Margin, Exposure

Margin, Var Margin .– Stock wise limit for at Dealer and Client Level– Graphical representation of Investors position in the Market– Maintains complete Audit-Log for activities executed using RMS

– Single click to cancel all Pending Orders– Auto Square off facility for all open position at pre-define time period– Comprehensive Security model– Acts as Central Data repository and facilitates quick system recovery– Risk Manager is allowed to do following

• Update Limits & Exposure for Members, Investors, etc.• Stock-wise Limits • Member wise Instrument Limits• Suspend Stock within the Broking house incase of volatility.• Close all open positions incase of volatility• Single click to cancel all pending orders• Monitor dealer, investor and branch position• Suspend members or instrument or group of instruments in case of breach of limits

or in case of market volatility• Set Alerts on exposure parameter

eQUATE – Risk Management Highlights

– Support for Multi product & Multi exchange .– Browser Based Front-end to facilitate direct trading by Investors– Streaming stock quotes to avoid manual refresh operations (push / pull

technology).– Option for manual refresh watch-list for low bandwidth.– Real time Watch-lists with user defined templates– Support for Multiple Banking/Payment Gateway Interfaces – Fully Secure –

• Secure 128 Bit SSL. Security at Transaction and Login Levels • Integrated with PKI (Public Key Infrastructure)/ PSM (Personal Security Module)

Security

– Comprehensive Risk Management & Audit Trail – Complete portfolio details available online.– Built using J2EE & 100% Platform independent

eQUATE – Online Trading Highlights

eQUATE – Market Watch

• Market Watch - The market information for the securities is updated online. user can view the market information such as best buy/sell price and quantity, last traded price, percentage change and total number of buyers and sellers.

eQUATE – Market Depth

• Market Depth - Market Depth provides market information of best 5 Buy and Sell Orders. This information will be depending on the

exchange as in some exchange , they are sending top ‘10’ best buy and sell information.

eQUATE – Conditional Market Watch

• Conditional Market Watch - This Screen Allows the user to define conditions which are used for tick market watch and ticker. In those screens instruments which satisfy those conditions will be shown.

eQUATE – ALERTS

• Alerts - Alerts screen allows the user to create instruments alerts based on certain condition(For e.g. Last Trading Price >= 140). When the condition is met for that instrument, then the alert will be displayed on the main screen.

eQUATE – Intraday Charts

• Intraday Charts - Intraday Chart displays the market data of the selected instrument for the current day in a graphical representation. It displays the trading price variation along with time as well as traded volume. Intraday chart can be generated for indexes also.

eQUATE – Historical Chart

• Historical Chart - Historic Chart displays the market data of the selected instrument over a period of time in a graphical representation. It displays the trading price variation along with time as well as Traded volume. Historic chart can be generated for indexes also. User can select period of time for the chart.

eQUATE – Buy – Sell Order Panel

• Buy & Sell order placement - This screen allow the user to place a new buy or sell order for various exchanges/segments. Once order is placed by the user it is verified by the RMS and if correct then it is sent to the Exchange.

eQUATE – Order Book

• Order Book - This screen shows the list of all the orders placed on the current date. Various filters can be applied on this screen as required. Modification of order can be done from this screen. You can also export these orders to excel format.

eQUATE – Trade Book

• Trade Book - This screen shows the list of all the trades done on the current date. Various filters can be applied on this screen as required. You can also export trades to excel or CSV format.

eQUATE – Bulk Order

• Bulk Order Placement - Using this screen user can place Bulk(multiple) Multi-leg/Spread orders at a time. First user will add all the orders he want to place and then he can place the order using the 'Place' button.

eQUATE – News and Announcement

• News and Announcement - News Screen shows the market related News along with instrument related news updates. For entering RSS News URLS configuration settings are there in New Master that is available in Admin Login.

eQUATE – RMS Client Profile

• Manage client profiling - This screen allows user to add/modify clients and also to map clients to a trader. Here user can store client details like General Details, Bank Details, DP Details, Participant Details and Allowed Segment Details.

eQUATE– RMS Rule based engine

• Rule Based limits - Client Limits is a RMS related screen which allows the user to set margins, exposure for the selected client. Utilized Margin is also displayed for the selected client. Apart from this user can set product settings and risk templates for the client in this screen.

eQUATE – RMS Risk Monitoring Template

• Risk Monitoring Template - This screen allows you to create Risk Templates and risk monitoring for the various Products Exchange Segments.

eQUATE – Technology Information

– Programming Framework & Tools• Java Enterprise Edition• Message-oriented middleware - very high performance, clustered,

asynchronous messaging system (Hornet Q / JMS)• SOAP based Java Web Services for interoperability• Supports any protocols like TCP / IP, UDP, FIX for exchange connectivity• Highly scalable web based low band width streaming engine for real-time

quotes

– Database• Oracle as backend RDBMS

– Server Platform• Java based solution can be deployed on any server platform (Windows,

Linux, Solaris etc).• Apache Tomcat or any JEE Servlet engine

``

Order M

atching Suite

Core DB

Log DB

Memory DB

Web Server /

Interactive Server

Data Access Layer

Trading Front End

(Desktop App /

Browser)

Data Logger

Broadcast Server

RMS Server

Order Matching

Engine

Broadcast Manager

ORD

ERS – TRADES FEED

FROM

STO

CK – EXCHAN

GE

Front office, RMS, Match Engine and Surveillance Architecture

Solution overview - Broker Back office

Keystone - Frame WorkBa

ck-O

ffice

Fra

me

Wor

k

Keystone - Deployment Architecture

Keystone - Exchange Segment Support

Exchange – Segment Support for Back-OfficeMutual Fund Currency Equity Derivatives Commodity

BSE Mutual Fund

NSE Mutual Fund

Online Interface

NSE Currency

USE Currency

MCX SX Currency

National Stock Exchange

Bombay Stock Exchange

Nairobi Stock Exchange

Nigeria Stock Exchange

Doha Stock Exchange

Dubai Stock Exchange

Abu-Dhabi Stock Exchange

NSE Derivatives

BSE Derivatives

MCX Exchange

NCDEX Exchange

ACE Commodities

National SPOT Exchange

ICEX Commodity Exchange

Trading Engine

Risk Engine

Interactive Voice Response

Mobile Back-office

MCX SX Equity MCX SX Derivatives

DGCX – Gold & Commodities Exchange

Keystone - (Broking functionality view)

Transaction Confirmation

Demat Risk & Surveillance

Exchange Reporting

Margin Calculation

Accounts

Transactions

Net. Position

Contracts

Bills

Ledgers

Pay-In

Pay-out

Demat Reconciliation

Off Market

Collateral Management

Live Risk Management

CTCL Limit

Client Follow-up

Dormant a/c reporting

Margin Reporting

Compliance

Client Funding Reporting

VAR

SPAN

Gross Margining

Trail Balance

Balance Sheet

P&L Statement

Schedule

Bank Reconciliation

ONLINE PORTAL

Internal Trading

Quarterly Payout (Funds & securities)

Quarterly Digital Reports

Exposure Margining

Additional & special Margin

BranchesClients

• Brief Info. on Back office solution– The Back office is the most vital aspect of the broker’s operations.

While trade is the backbone of his business, it is the back office that keeps track of the relationship and delivers the accounting and settlement that completes the deals.

– The solution offers complete functionality for mid and back office operations and integrates seamlessly with your front office software that has direct market access.

– The software is high on inter-operability and works well with front office & RMS software

– The solution is ideal for retail and institutional broking houses dealing in equities, equity derivatives, exchange traded currency futures and commodities segments.

Keystone - Brief information

• Features and capabilities– Ability to handle Multi Company, Multi Segment, Multi Product

transactions– Module to control all aspects of Derivative ,Currency & Commodities

Trading– In built calculation of SPAN® , VAR – Flexible modes of Security handling - handling Firm level, Menu Level,

Client Level and Branch level security.– Flexible, role based security system that handles execution, settlement,

accounting and management reporting. – Complete Audit Trail of addition, modification and deletion that can be

viewed with one click. – Compliance & Up to Date Regulatory changes– Risk Management policies on Branch / Dealer / Client Level etc.

Keystone - Features and capabilities

• Features and capabilities– Handles different Brokerage arrangements including Day Square Up,

Delivery based, Value based, Special brokerage, Minimum brokerage, Trading terminal based brokerage and Prepaid brokerage.

– Enables Brokers to work in different segments for a single client-Clients can trade in Normal/Delivery/Arbitrage/NBFC/SEBI MTF/ Gold SIP etc with a single Unique Client Code.

– Fully automated Demat Operations there by reducing manual interface & enhancing performance. Automated delivery system guarantees highest level of accuracy.

– Intelligent actions for corporate actions such as bonus, dividends, rights, mergers, demergers and stock splits.

– Ability to integrate with different Front Office applications and online interface with Equate.

Keystone - Features and capabilities

• Features and capabilities – Automation of Commission Rebates with 5 different types of

commission reversal & up to 4 levels– Different levels of Hierarchy including Zonal, Branch, Family, Regional,

Dealer and sub dealer. – Comprehensive module for maintaining financial accounting and control

as per Accounts Group, Level Grouping, Budgeted Accounting, Interest Calculations, Auto Bank Reconciliation, Ageing Analysis, Auto Payout of Funds, Set off JV across Exchanges, Third Party Cheques, Cheque Dishonor, Cash Flow Statements, Group wise Trial balance etc.

– OLE Automation with direct link up from Microsoft Excel.– Fully functional Customizable Custodian Reporting– Complete automation of NBFC operations (Loan Against Shares) with

exposure limits .

Keystone - Features and capabilities

• Features and capabilities – Integration with STP, RMS and other third party gateway– Email &SMS Integration as a cost effective means of personalized

contact with customers. – Crystal Reporting LD Keystone compatibility with Crystal Reporting

enabling users to export data to Excel, PDF, XLM, Word etc. – Graphical Representation-Generate charts for graphical representation

of Top Turnover Client, Top Scrip's giving maximum volume/Brokerage, Income Expense, Cash Inflow/Outflow.

– i-KEYSTONE-Web based module on thin technology for client login. This can deliver 45 plus types of reports related to client trades and transactions.

– Generate More than 400 reports including Client Global Report, Accounting Reports, MIS reports Taxation Reports, Brokers Turnover vis a vis exchange report etc.

Keystone - Features and capabilities

Keystone – Technology

– Programming Framework & Tools• Microsoft Silverlight Application 5.0• .NET Framework 4.0• WCF RIA Services (Middle tier)• Silverlight fully Cross-Platform Application• Rich Internet application with support for Web Browsers running

under Microsoft Windows and Mac OS X

– Database• Oracle as backend RDBMS

– Server Platform• IIS Web Application, Apache Tomcat

Implementation Methodology

Delivery Process

SalesHand-over

Kick Off Presentation

Gaps Documentation / Review & Sign-off

Develop Project Plan

Software Customization

Sample Data Preparation

DevelopmentTesting &Review

Application Setup

System Testing Training AcceptanceTesting (UAT)

Business Readiness& Go Live Prep

Go LiveSupport HandoverProject Closure

Product Walk Through & Gap Study

Project Implementation Method

Project Team Structure

Delivery Head

Program Manager

Head Sales & Marketing

Team Leader

Project Manager

Business Analyst

PMO Office Account Manager

Support Process Overview

Support Process

• Calls to be registered in Customer support Direct Portal with detailed inputs / screen shots

• Scope – – Provide services for the base product & maintain customized programs

already delivered and accepted by the customer

• Pre-requisite for support :-– Remote Connectivity to the Servers

APEX SOFTCELL Support Head

Consultant 1

Consultant 2

Consultant 3

CustomerCustomer

Customer Coordinator

Details / Clarifications

Single point for customer

Local Support Manager Offshore

Support Team

Support Structure

Support Process Benefit

• Complete History of the calls logged

• Auto email as an acknowledgement to the customer

• Track of Response time

• Auto email for Call closure / feedback from the

customers

• Automated Internal Escalation Engine for Aged Calls

Overview of Support function

Provide product support from the time the product is installed at the customer premises

Provide each customer with unique login ID to the Customer Support Portal

Enables the customer on the Customer Direct usage during the implementation phase

Overview of Support Function (Contd…)

• Support Takeover Process

‒ Pre-closure process

‒ Project documentation by implementation team

‒ Project documentation review and approval by Support team

‒ Project closure process

• Support Review Process

‒ Regular reviews with customer post implementation

‒ Review with implementation team during implementation

Support Escalation Process

• Support point of contact‒ Regional Support Desk

• Escalation Process‒ First Level – Customer Support Head‒ Second Level – Account Manager‒ Third Level – Operations Head‒ Fourth Level – Region Head‒ Fifth Level –Chief Executive Officer

• Support call logging process‒ Customer Support Portal

THANK YOUFor more information please contact:

Rajesh Dutta – 0091 9330041148Email ID – rajesh@apexsoftcell.comWeb-site - www.apexsoftcell.com