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1 Service and Technical Description Vendor Access Network Providers (VAN) January 2013

2 Contents Vendor Access Network Providers (VAN)... 1 Contents... 2 Document Version Introduction Purpose of this document Overview of the service Associated Documentation Third Party markets and services a Vendor Access Network can provide Differences between Vendor Access Network (VAN) and Network Service Provider (NSP) Minimum Requirements and High Level implementation process Minimum Requirements VAN reporting Requirements Exchange System Development Security Policies Disaster Recovery Availability and Performance Messaging Auditing Customer Support VAN Implementation flow VAN Network Design VAN Connectivity Requirements End Customer IP Addressing Accreditation Process Test Requirements Introduction Certification Test Requirements Acceptance First Customer Go-Live Vendor Access Network Testing Customer Enablement Process Timescales and Pricing Connectivity Pricing Accreditation and VAN service charge pricing Timescales VAN Support

3 Document Version January

4 1. Introduction The launch of the Vendor Access Network (VAN) initiative in 1999, facilitated a new way for clients to access the Exchange markets.. The Exchange continues to provide greater choice to market participants to support access to all London Stock Exchange, Turquoise and Oslo Bors venues Purpose of this document The purpose of this document is to provide prospective and existing Vendor Access Network Providers with an overview of the Vendor Access Network Service (the Service ). This document provides details on the service and its introduction, including the delivery timescales, and details of the technical configuration. This publication constitutes an amendment to the Technical Specifications published by London Stock Exchange Plc Overview of the service The VAN service allows Vendors to use connectivity to the Exchange to provide trading connectivity to end customers through an accredited software solution the VAN provides. 4

5 1.3. Associated Documentation The Exchange has a range of technical documentation to help customers with their implementation of a link to the Exchange and this is available on the Exchange website or can be obtained from Exchange staff. This document describes the guiding principles, technical considerations and operational processes by which a customer can connect to the Exchange via a VAN. Each VAN has a different network and there will be differences in the way customers interact with each VAN and also through the VAN with the Exchange. Further information on each of these services can be found in a range of documents from the Exchange s website: Millennium Exchange Market Data Bandwidth Profiles This document provides details on the bandwidth requirements for customers and Vendor Access Network Providers: Hosting The Exchange Hosting Service and Technical Description is available on request from: Customer Managed Connectivity The Customer Managed Connectivity Service and Technical Description is available on request from: 1.4. Third Party markets and services a Vendor Access Network can provide In addition to the London Market, the Exchange is able to provide access to third party markets and services through a Vendor Access Network connection. It is the responsibility of the Vendor Access Network to obtain any agreements or contractual requirements to provide access to these third party markets and services, and copies of these agreements must be provided to the Exchange prior to activation. 5

6 1.5. Differences between Vendor Access Network (VAN) and Network Service Provider (NSP) The Vendor Access Network (VAN) model and Network Service Provider (NSP) are very similar in structure; however the points below aim to clarify the key difference between the two services: VAN providers give end customers an end to end service which includes shared connectivity to the Exchange, as well as accredited software for customers to use. This effectively removes the need for software and network management for the end customer. NSP provide end customers with network access only the Exchange s services. The end customer can use whatever network equipment and end software they wish to use once the NSP has provided them with access. 2. Minimum Requirements and High Level implementation process 2.1. Minimum Requirements The following basic principles dictate the operation of the VAN service model: Requirement 1: The Vendor must supply robust and secure connectivity to allow each Vendor Access Customer to access the market and must have in place at all times disaster recovery facilities replicating the live environment. Requirement 2: The Vendor must provide each Vendor Access Customer with full support for the resolution of both functional and technical issues in relation to the Vendor Network and associated software and hardware. Requirement 3: The Vendor must provide each Vendor Access Customer with appropriate support whenever the Exchange s System is accessible so that all faults are fixed as soon as practicable and with reasonable care. Requirement 4: The Vendor must ensure that the Exchange s System, network and operational security levels are not compromised. Security must prohibit disclosures or use of Data by Vendor employees agents and subcontractors so that such disclosure and use is restricted to those Vendor employees, agents and sub-contractors who require disclosure and use of the Data for performing obligations under this Agreement (including supplying services to Vendor Access Customers). Requirement 5: The integrity of the Exchange s markets must not be compromised by any unauthorised user access or view of the Data. 6

7 Requirement 6: The Vendor must provide a satisfactory mechanism for authenticating Vendor Access Customer access to the Vendor Network. All messages identified as originating from a Vendor Access Customer must only originate from authorised individuals within that organisation. Requirement 7: The Vendor must keep adequate records of all messages received from and sent to each Vendor Access Customer by the Vendor or via the Vendor Network. Requirement 8: The Vendor must not notify a Vendor Access Customer that a message has been received or accepted by the Exchange until the Vendor has received an acknowledgement from the Exchange that this is the case. Requirement 9: Where there is a failure which delays or prevents Input Data from being submitted to the Exchange or Output Data being submitted to a Vendor Access Customer, the Vendor must notify each affected Vendor Access Customer immediately, and shall supply to such Vendor Access Customer at the same time details of the cause of such failure or delay (where known) including details of the affected Data and its current status VAN reporting Requirements The Vendor must produce the following report upon request by the Exchange pursuant to the VAN agreement. The reports should be based on the previous calendar month (or three months in the case of performance). Availability of the VAN Performance reports for each geographical area (e.g. UK, Europe, USA), at three-monthly intervals Security breach notifications, together with associated details, audit trails etc, as and when breaches occur Number of calls from Vendor Access Network Customers to the Vendor relating to VAN performance Vendor Access Network Customers complaints 2.3. Exchange System Development Regular updates are seen as necessary for enhancements to systems, though these should ideally not be more than 4 times per year over and above Exchange project updates. The Exchange prefers remote upgrades, unless the Vendor can prove sufficient local support to support upgrading locally. The VAN Provider should have clearly defined versioning. The Exchange will accept a certain level of release as a minimum, allowing minor updates to take place without further accreditation. 7

8 2.4. Security Policies All messages received by the Exchange must be proven to originate from the Participant identified in the message. We must also be sure that the content of the message accurately represents the instruction. A valid firm wide security policy, covering physical, network and data security, must exist and be strictly enforced by Vendor staff. This should bind all staff involved in the management and support of the service. This policy should prohibit the ability to manually manipulate client data (e.g. orders, trades etc) on the Vendor s system and prevent disclosure or use of client data by staff. Only those personnel who specifically require access to systems used to provide the Vendor Access service in order to manage and maintain the systems, should be allowed access to the systems Disaster Recovery The VAN Provider must offer an alternate disaster recovery site for their central system and core network component. Each alternate site should have dedicated resilient connections to the Exchange. Full cutover of multiple components providing the Vendor Access Service (i.e. disaster recovery) must be performed in a maximum of 30 minutes. Alternate site must be capable of sustaining 100% of the capacity of the primary site, indefinitely. Failover of any single component should be seamless to the user. Preference is for no action required by user, re-logon is acceptable Availability and Performance Time taken for messages to be processed should be minimised. Overseas Participants should not be disproportionately disadvantaged against Participants located in the UK using the same Vendor network. There should be no major single points of failure in the end to end solution The maximum total time for unplanned outages should be as follows: The total downtime that an individual Participant experiences should not exceed 15 minutes in a 4 week period for Trading Services. Vendor central system and core network downtime affecting all Participants connecting through that Vendor should not exceed 10 minutes per month. This service level must not be broken more than five times in any 12 month period, and must not be broken in three consecutive months. Note: 1. This is based on a 4 week period of 20 working days each consisting of 13 hours. 8

9 2. Service Levels for directly connected solutions is measured from the customer site to the Exchange. For Internet connected solutions this will be from the VAN Provider s web server to the Exchange. Messages times from the Vendor site to the Participant site should detailed, as well as times for messages initiated by the Participant reaching the router at the Exchange side of the Vendor site. An average time should be defined for each of these routes Messaging Any occasion of message loss where an instruction is not acknowledged by the trading system, or sent by the Exchange and not acknowledged by the Participant, must be apparent to the Participant. This should be through an alert on the Participant system, and comprehensive use of error codes. The alert should include Exchange advisory codes. Message format changes should be explained in a detailed overview, or a technical specification should be provided. The Exchange uses ISIN, Country of Register, Segment and Currency Code to uniquely identify an instrument, and recommends that VAN Providers take the same approach Auditing The Exchange seeks to ensure that, in the event of a trading dispute, there is a comprehensive audit trail identifying the details of all trading instructions initiated at each Participant site. Audit should be from the point of data entry on customer site and should be maintained until the message reaches the Exchange. Audit trails must be sufficient to ensure nonrepudiation. An audit trail must exist for all messages received from and sent to Participants by the Vendor and the Exchange. In the event of a disaster, all messages should be routed to the DR site, and the audit trail should be maintained. Audit trails must be readily available for the previous five business days. Data should be backed up each night. Audit trails for the past 12 months must be archived in a manner which enables retrieval of specified data within 24 hours. All archive material must be held securely in an offsite fireproof location. All messages should re-routed to DR. Any loss to audit trail during transfer to DR must be minimised. The Vendor must be able to permission different levels of data, provide comprehensive details of data at each client site and when it was enabled. There should be comprehensive audit reports and access available Customer Support Participants will require a high level of support to ensure that any issues affecting their ability to trade on the London market are dealt with efficiently. The Vendor should be the first point of contact for Participant s technical issues. Proven Technical Support must be offered by the Vendor in each country where they are proposing to provide network access from 07:00 UK time, until 19:00 UK time. Local language support must be available in all centres. Response times for Technical Support should be under 2 hours for a problem affecting a Member Firm s ability to trade on the London market. For Crest services the VAN Provider should mirror Exchange response times, depending on the level of service selected. 9

10 Vendors must have the ability to record and monitor initial response and final resolution times VAN Implementation flow The steps below detail at a high level the discussions and key steps involved in accreditation and go-live for a new VAN: The VAN Implementation process will consist of the following: 1. Expression of interest from Vendor. 2. The Exchange will send out an application pack consisting of: Vendor Access Network Agreement Vendor Access Network Questionnaire Non-Disclosure Agreement to be completed where appropriate Pricing Policy VAN agreement and Questionnaire 3. The Vendor will complete the questionnaire, with support and clarification from the Exchange where appropriate 4. Upon submission of the questionnaire, it will be reviewed by the relevant Account Manager and Technical Account Manager. 5. A meeting/conference call between the Vendor and the Exchange will be arranged to discuss the outcome of the review. 6. The Vendor will be recommended for technical acceptance or rejection by the reviewers. 7. Contracts to be signed attaching the completed questionnaire for the Vendor undertakings of service. 8. The VAN Provider is to undertake and pass all testing required by the Exchange. 9. The Exchange will then authorise the VAN solution and communicate this accordingly. 10. First Participant goes live. 11. VAN Provider service will be monitored on an on-going basis. 10

11 3. VAN Network Design 3.1. VAN Connectivity Requirements VAN Providers must have resilient and robust connectivity to two sites. This provides three available options for a prospective VAN to connect: Customer Managed Connectivity Customer Managed Connectivity (CMC) provides customers with additional choice and flexibility, when directly accessing the London Stock Exchange Group. Utilising an optimised network infrastructure, engineered for low latency, resiliency and scalability, customers are able to access our markets through a number of Accredited Connectivity Partners. Further Information on Customer Managed Connectivity is available on request from: Extranex Extranex services provide customers of the Exchange with managed point to point connections for transmission of data traffic between their systems and the Exchange's Trading and Information Systems. Further Information on Extranex is available on request from: Exchange Hosting Exchange Hosting - the ultimate option in terms of low-latency connectivity - allows customers to host their servers within the Exchange s own Data Centre putting them as close as possible to the TradElect matching engines and Infolect market data End Customer IP Addressing One IP address allocated from the range provided on the Extranex/Hosting connection is enabled at the Exchange network level for all connecting VAN customers. This reduces the time taken to enable new customers, and any enablement activity is configured on the Exchange application without need for enablement on the Exchange network. 11

12 4. Accreditation Process 4.1. Test Requirements Introduction Prior to being confirmed as an accredited Vendor Access Network, a VAN must complete tests to ensure that their solution can provide access to the Exchange s markets. Tests are booked through a Technical Account Manager 4.2. Certification Test Requirements Once connectivity installation is complete, the VAN will be required to complete a full conformance/certification test for the software solution they are going to use for their customers Acceptance Once the test is successfully completed, and confirmed by the Technical Account Manager, the Exchange will notify the Vendor that they are an accredited VAN, and details will be added to the Exchange website to reflect this First Customer Go-Live All customers will be required to perform a live connectivity test (LCON Test) prior to going live on the VAN solution Vendor Access Network Testing VAN customers can also be given access to the Customer Development Service (CDS). The price list and costs to the end customer for access to this service is shown here: 12

13 5. Customer Enablement Process The diagram below explains at a high level how a customer is enabled: The customer should contact the relevant market they require access to directly to arrange enablement, as well as notifying their VAN. 13

14 6. Timescales and Pricing 6.1. Connectivity Pricing Pricing for Customer Managed Connectivity, Extranex and Exchange Hosting connectivity are available on request: Tel: +44 (0) Accreditation and VAN service charge pricing Pricing for accreditation and service charges for the Vendor Access Network is available on request from: 6.3. Timescales Once connectivity is in place, there is usually a two week period where accreditation testing is booked in and completed. Vendor Access Network Providers should factor these timescales into any project delivery plan. 14

15 7. VAN Support Please contact either Client Technology Services (UK) or your Technical Account Manager if you have any questions about the Millennium Exchange services outlined in this document: Client Technology Services (UK) can be contacted at: Telephone: +44 (0) If you require technical support due to an incident or failure please contact the Client Technology Services (UK) Service Desk at: Telephone: +44 (0) For any ordering queries please contact Business Development Technology on the following: Telephone: +44 (0)

16 Copyright January 2013 London Stock Exchange plc. Registered in England and Wales No London Stock Exchange plc has used all reasonable efforts to ensure that the information contained in this publication is correct at the time of going to press, but shall not be liable for decisions made in reliance on it. London Stock Exchange and the coat of arms device are registered trade marks of London Stock Exchange plc. London Stock Exchange 10 Paternoster Square London EC4M 7LS Telephone: +44 (0)

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