Proactive Brokerage System Stock Brokers Total Solution

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Daisy Gibbs
10 years ago
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1 Back Office System (BOS) Ordering Management System (OMS) Online Trading System (OLT) Document Archiving System (DAS) Customer Relations Management System (CRM) Internal Auditing System (IAS) Application Server Enabled (AS) Real-Time Prices & Quotes Streamer (Proactive Streamer) Sales: Tel.: Fax.:

Application Server Enabled (AS) Real-Time Prices & Quotes Streamer (Proactive Streamer) http://www.

2 SYSTEM OVERVIEW Our Brokerage System addresses the need to implement a complete integrated system that optimize current business processes and provide a single integrated solution that covers all the aspects of the Stock Brokerage industry. The system spans all areas of Brokerage operations and management, including, but not limited to, back office management, ordering management, customer accounting, general accounting, branches management and control, accounts managers, on line trading system, commissions builder, risk management, archiving system, auditing system, invoicing, risk management & control, FIX client gateway integration. In addition, the solution will help you operate business efficiently in a process controlled environment and support all employees to provide customers with high standards of customer services. Moreover, the solution is equipped with enough tools to support top management in planning and decision making to achieve short & long terms business objectives. You will utilize the solution as a reliable back end to expand globally and develop new market segments in different areas. The solution will help you improve data entry efficiency, streamline business processes, eliminate backlogs, enable instant customer accounts management, optimize the ordering management processes, optimize on line trading availability, reduce operational costs, optimize ROl and increase customer satisfaction. 2

The system spans all areas of Brokerage operations and management, including, but not limited to, back office management, ordering management, customer accounting, general accounting, branches

3 Business Functions Summary Customer database and document archiving including customer signature. Ordering Management System supported with FIX client gateway to the stock exchange Customer Accounting Portfolio Management Risk Management Advanced Security System Advanced Auditing System On Line Trading System Advanced Trading System from Proactive Streamer General Accounting System Proactive Brokerage System PBS Transactions Deposit / Branch Withdrawal / Branch Buy/Sell Settlement Custodian Bank Settlement Operations Buy / Branch Sell Order/ Branch Verify Balance Executed Review Buy/Sell Settlement Invoices Creation Execution Execute Buy Order Execute Sell Order Executed Trans. Reporting Registry Log Risk Mgmt Customer Branches Reports Traders Reports Invoices Reports Portfolio Evaluation General Balance Sheet Closing Security & Audit Advanced Security Rights for each user Access Log Transactions log Special security handling for branches Special security features for accounts mgr Special security features for cash registry Special Audit reports Accounting Integration to Proactive GL Daily posting to reviewed trans. Daily posting to settlement Daily posting of Registry Other dual entries Daily Balance Sheet Closing etrade compatible with international stock exchanges FIX Client Gateway On line Trading Conditional Triggers Real-time stock quotes 3

Trading System Advanced Trading System from Proactive Streamer General Accounting System Proactive Brokerage System PBS Transactions Deposit / Branch Withdrawal / Branch Buy/Sell Settlement Custodian

4 Technical Functions Summary Supports hot standby database functions Supports Disaster Recovery Sites Supports working through application servers 4

5 System Characteristics Customer Database Customer personal data Customer Financial data Assigning customer to branch Assigning customers to account managers Black listed customers list Storing customer signature & other official documents for easy access to authorized users. Trades Automatic entry of daily executions Automatic identification of new customers Automatic link of executions to orders Automatic creation of invoices Customer & checks Register Registry Log Special handling for branches Ordering Management System (OMS) Issue of sell orders with automatic validation to customer balance Issue of Buy with automatic validation to customer cash balance Automatic calculation of special customer commissions Real time monitoring of orders execution detailed Log Security & Access Control Each BO user has access rights assigned by administrator Each OLT client has a user name and password along with the option of having extra security using PSM or tokens. 5

Trades Automatic entry of daily executions Automatic identification of new customers Automatic link of executions to orders Automatic creation of invoices Customer & checks Register Registry Log

6 Auditing System Each login trial failed or succeeded is logged Proactive Brokerage System Transactions occurs like editing values, deleting records, viewing or printing sensitive documents like customer accounts statements are all logged. You can simply give access rights and monitoring these rights for extra security and auditing purposes On Line Trading System Accepting 24/7 Full integration with our OMS & Back Office Instant orders confirmation Instant access to orders status Instant access to account statements Instant access to Gain & Loss Report Instant access to investor portfolio Real Time Market Access Triggers & Rules Stop Loss Price Watch Screen, Proactive Streamer Advanced etrade through Proactive Streamer FIX Client Gateway Sending and receiving FIX protocols for communication with the stock exchange and other financial institutions. 6

You can simply give access rights and monitoring these rights for extra security and auditing purposes On Line Trading System Accepting 24/7 Full integration with our OMS & Back Office Instant orders

Guide for Al Dhafra E-Trade System

Guide for Al Dhafra E-Trade System Comprehensive and Detailed guide to use our online service Contact Details: Al Dhafra Financial Broker Abu Dhabi, United Arab Emirates P. O. Box: 107799 Phone: 800-8080