SIFMA Sources: a Resource Directory

SOURCES A RESOURCE DIRECTORY

The 2020 Guide to Products and Services for the Securities Industry SIFMA is the leading trade association for broker-dealers, investment banks and asset managers operating in the U.S. and global capital markets. On behalf of our industry’s nearly 1 million employees, we advocate for legislation, regulation and business policy, affecting retail and institutional investors, equity and fixed income markets and related products and services. We serve as an industry coordinating body to promote fair and orderly markets, informed regulatory compliance, and efficient market operations and resiliency. We also provide a forum for industry policy and professional development. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA). For more information, visit http://www.sifma.org. SOURCES A RESOURCE DIRECTORY

The 2020 Guide to Products and Services for the Securities Industry

ACCOUNTING AND PROFESSIONAL SERVICES BDO USA, LLP...... 1 Crowe LLP...... 1 Deloitte...... 1 EisnerAmper LLP...... 3 EY...... 3

CLEARING AND SETTLEMENT Fidelity Clearing and Custody Solutions...... 5 Matrix Applications...... 5 OCC...... 6

COMMUNICATIONS AND TECHNOLOGY Broadridge...... 7 Mediant...... 7

CONSULTING Capital Forensics, Inc. (CFI)...... 9 MarketSphere Unclaimed Property Specialists...... 10 Oyster Consulting LLC ...... 11 Protiviti...... 11 RMMilburn Consulting LLC...... 13 Securities Experts Roundtable ...... 13 TCS BaNCS - Tata Consultancy Services ...... 13

INSURANCE Assured Guaranty...... 15

i | A RESOURCE DIRECTORY

LEGAL Alston & Bird ...... 16 Bracewell...... 16 Bressler Amery & Ross...... 16 Cadwalader, Wickersham & Taft LLP...... 17 Cravath, Swaine & Moore LLP...... 17 Holland & Knight...... 17 Hunton Andrews Kurth LLP ...... 18 León Cosgrove LLP...... 18 Linklaters LLP ...... 18 McGuireWoods LLP...... 19 Moore & Van Allen PLLC...... 19 Murphy and McGonigle...... 21 Quarles & Brady LLP...... 23 QuisLex...... 23 Sidley Austin LLP...... 23 Stikeman Elliott (NY) LLP...... 24 Stroock & Stroock & Lavan LLP...... 25 Williams & Connolly LLP...... 25 WilmerHale...... 25

MARKET DATA European DataWarehouse...... 27 IHS Markit ...... 27 Lumesis, Inc...... 27

OTHER – DATA ANALYTICS FICO...... 29

OTHER - FINANCIAL DATA AND NEWS Bloomberg...... 29

| ii SOURCES

OTHER - NOTICING & CLAIMS AGENT Prime Clerk ...... 30

OTHER – TAX RECLAMATION Goal Group...... 30

PROFESSIONAL SERVICES SEBA International Executive Search...... 31

RESEARCH CreditSights, Inc...... 31

RISK & COMPLIANCE ACA Compliance Group...... 32 PwC...... 33 Vigilant...... 33

TECHNOLOGY / SOFTWARE AND SERVICES Amazon Web Services...... 35 BasisCode Compliance, LLC...... 35 CircleBlack...... 37 FIS...... 37 Financial Recovery Technologies (FRT)...... 38 Fi-Tek...... 38 Google Cloud...... 38 Hearsay...... 40 Kinetix Trading Solutions...... 40 Kx...... 40 n-Tier...... 43 Refinitiv...... 43 SWIFT...... 44 Tegra118...... 44 Theta Lake...... 45 Transcend Street Solutions...... 45 iii | Sign up for SIFMA SmartBrief

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When navigating today’s complex landscape, we’re better together

Today, banks, securities and capital markets firms are facing digital disruption, accounting changes and a continuing focus on data quality, data protection and privacy. Our experienced team of more than 6,000 banking and capital markets professionals deliver comprehensive, innovative services to help you efficiently navigate through today’s complex landscape. Our professionals can help you address important issues, including cloud, cybersecurity, regulatory compliance, operational and digital transformation.

Deloitte provides industry-leading audit, consulting, tax and advisory services to many of the world’s most admired brands, including nearly 90% of the Fortune 500® and more than 5,000 private and middle market companies.

Larry Rosenberg Bob Walley Mark Shilling Partner Principal Principal Deloitte & Touche LLP Deloitte & Touche LLP Deloitte Consulting LLP +1.212.436.4869 +1.212.436.3212 +1.973.602.5218 [email protected] [email protected] [email protected] www.deloitte.com

330 N Wabash Ave. #3200, Chicago, IL 60611 312.856.9100 | www.bdo.com Scott Hendon, National leader of Private Equity | [email protected]

BDO delivers assurance, tax, and financial advisory services to clients throughout the country and around the globe. We offer numerous industry-specific practices, world-class resources, and an unparalleled commitment to meeting our clients’ needs. We currently serve more than 400 publicly traded domestic and international clients.

488 Madison Avenue, Floor 3, New York, NY 10022 312.899.7000 | www.crowe.com Chris Johnson, Partner | 646.965.5671 | [email protected]

Crowe LLP (www.crowe.com) is a public accounting, consulting and technology firm with offices around the world. Crowe uses its deep industry expertise to provide audit services to public and private entities. The firm and its subsidiaries also help clients make smart decisions that lead to lasting value with its tax, advisory, risk and performance services.

30 Rockefeller Plaza, New York, NY 10112 212.492.4000 | www.deloitte.com Lawrence Rosenberg, Partner | 212.436.4869 | [email protected]

With more than 6,000 professionals dedicated to serving US banking and capital markets institutions, and a global financial services industry practice comprised of more than 40,000 industry professionals, Deloitte brings together diverse and experienced teams where and when you need us. We are consistently at the forefront of the issues most important to our clients, including cloud, cybersecurity, financial crimes, regulatory compliance and digital transformation in addition to innovative, industry leading Audit and Tax services.

| 1 SOURCES ACCOUNTING AND PROFESSIONAL SERVICES

Should digital transformation be on your agenda, or running it? Driven by humans, powered by technology, business transformation for a better working world. © 2020 Ernst & Young LLP . All Rights Reserved. ED None. LLP . All Rights Reserved. & Young © 2020 Ernst ey.com/banking #BetterQuestions

2 | A RESOURCE DIRECTORY ACCOUNTING AND PROFESSIONAL SERVICES

750 Third Avenue, New York, NY 10017 212.949.8700 | www.eisneramper.com Nancy Grimaldi, Partner | 212.891.4009 | [email protected]

EisnerAmper LLP has a well-established Financial Services Practice that provides audit, tax, and advisory services globally. Our Financial Services Practice, comprised of the Asset Management and Capital Markets Groups, is the largest industry group within EisnerAmper featuring more than 2,500 financial services clients.

5 Times Square, New York, NY 10036 | www.ey.com Michael Sheptin, Principal | 212.773.6032 | [email protected]

EY is a leader in serving the financial services industry. The global network of EY firms understands the importance of asking great questions. It’s how you innovate, transform and achieve a better working world. Finance and capital markets fuel our lives. No other sector can touch so many people or shape so many futures. That’s why globally our network includes 26,000 people who focus on financial services. Our financial services teams are dedicated to providing assurance, tax, transaction and advisory services to the banking and capital markets, insurance, and wealth and asset management sectors. It’s our global connectivity and local knowledge that ensures we deliver the insights and quality services to help build trust and confidence in the capital markets and in economies the world over. The better the question. The better the answer. The better the world works.

| 3 SOURCES CLEARING AND SETTLEMENT

FIDELITY CLEARING & CUSTODY SOLUTIONS® Transform for the future

When you work with Fidelity, you get innovative technology and dedicated service and support—so you can focus on taking your business further. As a Strategic Partner of the Securities Industry and Financial Markets Association, we take pride in advancing our capabilities to help ensure that your ﬁ rm is equipped, prepared, and evolving for the future.

To learn how Fidelity is the change agent helping innovative advisors and ﬁ rms build a future-ready business, visit go.ﬁ delity.com/transformnow or call 877.262.5950.

Start your journey today.

Fidelity Clearing & Custody Solutions and the Fidelity Investments and pyramid design logo are registered service marks of FMR LLC. Fidelity Clearing & Custody Solutions® provides clearing, custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, members NYSE, SIPC. The Securities Industry and Financial Markets Association is an independent entity and not a liated with Fidelity Investments. © 2020 FMR LLC. All rights reserved. 4 | 830589.7.0

39994-02-AD-SIFMA_Sponsorship.indd 1 1/17/20 5:02 PM A RESOURCE DIRECTORY CLEARING AND SETTLEMENT

200 Seaport Boulevard, Boston, MA 02210 877.262.5950 | clearingcustody.fidelity.com John Phillips, EVP, Head of Broker-Dealer & Bank Sales 617.563.2253 | [email protected]

Fidelity Clearing & Custody Solutions® provides a comprehensive clearing and custody platform, brokerage, investment, and reporting services, trading capabilities, and practice management and consulting to registered investment advisors (RIAs), including strategic acquirers and professional asset managers, as well as broker-dealer firms, banks, retirement recordkeepers, insurance companies, family offices, and wealthy families. Fidelity Clearing & Custody Solutions’ goal is to help clients ensure that they are always future-ready by providing access to the strength and scale of Fidelity, flexible solutions and technology, and exceptional people fostered by a culture of service excellence.

1155 Avenue of the Americas, 14th Floor, New York, NY 10036 212.308.8800 | www.matrixapps.com Stephen Mellert, Managing Director | [email protected]

Founded in New York in 2000, Matrix is a fintech service bureau offering a suite of software products and services for institutional fixed income trading firms. Our front, middle and back office system offer straight-through-processing with extreme efficiency. We leverage our extensive technical experience, deep network across the finance industry, and a team of ops, regulatory and legal gurus to deliver bottom-line results.

| 5 SOURCES CLEARING AND SETTLEMENT

125 S. Franklin Street, Suite 1200, Chicago, IL 60606 312.322.6200 | [email protected] | www.theocc.com Pat Hickey, Senior Vice President, Product and Business Development 312.542.2566 | [email protected]

OCC is the world’s largest equity derivatives clearing organization. We promote stability and market integrity through effective and efficient clearance, settlement and risk management services while providing thought leadership and education to market participants and the public about the prudent use of the products we clear.

6 | A RESOURCE DIRECTORY COMMUNICATIONS AND TECHNOLOGY

605 Third Avenue, New York, NY 10158 800.353.0103 | broadridge.com Michael Natoli, S.V.P., Global Technology and Operations 212.918.6951 | [email protected] Tim McConnell, S.V.P., Investor Communication Solutions 212.918.6941 | [email protected]

Broadridge, a global Fintech leader with over $4 billion in revenues and part of the S&P 500® Index, enables corporate governance, powers capital markets and helps wealth and asset management firms grow. We provide communications, technology, data and analytics that help enrich engagement, navigate risk, optimize efficiency and drive revenue growth. We process $5 trillion in fixed income and equity trades daily, manage shareholder voting in 90 countries and deliver essential communications for 5,000 brands. From our unique vantage point, working side by side with our clients, we help businesses get ahead

PMS CMYK RGB of today’s challenges and capitalize on what’s next.

Pantone 382 c C28 M0 Y100 K0 R196 G214 B0

PMS CMYK RGB

Pantone 294 c C100 M88 Y30 K20 R0 G46 B109

PMS CMYK RGB

Pantone 7703 c C80 M22 Y18 K0 R0 G156 B189

PMS CMYK RGB 3 Columbus Circle, Suite 2110, New York, NY 10019

Pantone 533 c C90 M82 Y45 K47 R34 G41 B68 877.753.4756 | mediantinc.com

Mediant provides technology that is smarter, faster and better to help our broker, issuer and fund clients take control of their investor communications in a transparent and seamless way. Our solutions are driven by leading technology and strict compliance with industry regulations, which allows clients to balance innovation with requirements.

| 7 SOURCES ACCOUNTING AND PROFESSIONAL SERVICES

Alone, you’re a company. Together, we’re the industry.

We are at the center of an enormous network of businesses around the world including 18 of the top U.S. primary ﬁ xed income dealers. Our scale, data and analytics provide improved liquidity, eﬃ ciency and risk reduction. So you’re ready for faster, friction-free growth.

CONNECT WITH US +1 844 794 0399 broadridge.com

Communications Technology Data and Analytics

Jane Janeczek Global Accounts

8 | A RESOURCE DIRECTORY CONSULTING

1530 E. Dundee Road, Palaine, IL 60074 847.392.0900 | [email protected] | www.capitalforensics.com Eric H Siber, Managing Director 847.392.0900| [email protected]

Working with all types of financial institutions, CFI provides litigation support (the industry’s top arbitrator selection tool, comprehensive P & L reports, and a team of qualified subject matter experts), along with Regulatory and Compliance Consulting. forensic accounting and fraud investigations, damages assessments, and state-of-the-art data analytics for large data analyses and remediation calculations.

| 9 SOURCES CONSULTING

3490 Piedmont Road NE., Suite 1025, Atlanta, GA 30305 844.357.1099 | [email protected] www.unclaimedpropertyspecialists.com Mike Hughes Partner, Strategic Solutions 412.720.8013 | [email protected] MarketSphere partners with organizations to manage all aspects of unclaimed property responsibilities. Specific to the Financial Services industry, we focus on helping firms understand and meet the unique dormancy requirements of each jurisdiction, meet mandatory search requirements related to SEC 17ad-17 compliance, and understand the correlation between regulatory reporting obligations and unclaimed property. MarketSphere’s FS Analyzer tool provides the analysis to ensure legislative compliance with unique property types including IRA’s, Mutual Funds, Dividend Reinvestment Plans, Non-Dividend Reinvestment Plans, UTMA/UGMA, Educational Savings, etc. We assess risk, assist with initial compliance, negotiate amnesty programs, manage/expedite audits, perform due diligence and annual reporting.

Compliance Services ● Advisory Services Corporate Asset Recovery Unclaimed Property Experts Providing Your Just Right Compliance® Solutions

10 |

A RESOURCE DIRECTORY CONSULTING

4128 Innslake Drive Glen Allen, VA 23060 804.965.5400 | [email protected] | www.oysterllc.com Buddy Doyle, CEO | 804.965.5400 | [email protected]

At Oyster we believe that when financial service companies have the best information and options, they can make the best decisions. Through consulting, outsourcing and proprietary software, we give clients innovative tools to understand, automate, optimize and analyze crucial functions. Our seasoned industry leaders help companies plan, manage risk, meet compliance and optimize operations so they can focus on running their business.

888 7th Ave, 13 Fl, New York, NY 10106 | www.protiviti.com Michael Brauneis, Managing Director – US Financial Services Industry Leader 312.476.6327 | [email protected]

Protiviti is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Through our network of more than 85 offices in over 25 countries, Protiviti and its independent and locally owned Member Firms provide clients with consulting solutions in finance, technology, operations, data, analytics, governance, risk and internal audit. Named to the 2020 Fortune 100 Best Companies to Work For® list, Protiviti has served more than 60 percent of Fortune 1000® and 35 percent of Fortune Global 500® companies. Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI). Founded in 1948, Robert Half is a member of the S&P 500 index.

| 11 SOURCES CONSULTING

FACE THE FUTURE WITH CONFIDENCE Protiviti is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Our consulting solutions span critical business problems in technology, business process, analytics, risk, compliance, transactions and internal audit. Protiviti helps financial institutions to be more effective, efficient and resilient, in a way that is risk- sensitive, regulatory compliant, well-controlled and enabled by leading technologies.

protiviti.com

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180 High Park Ln Suite 333, Silver Spring, MD 20910 | rmmilburnconsulting.com Bob Milburn, President | 410.645.0761 | [email protected]

We bring a hands-on approach to our engagements with over 30 years of experience solving problems and providing compliance-oriented solutions. We have in-depth knowledge of operation process flows, accounting and regulatory requirements used in the securities industry. Solutions are an extension of your firm’s culture and values.

www.securitiesexpert.org |[email protected]

Securities Experts Roundtable (SER) is a professional organization of testifying and consulting experts with significant experience in securities and investment-related litigation. Our industry experts have been retained and testified in thousands of arbitrations, regulatory proceedings, and state and federal courts across the country. Members have solid academic credentials and career accomplishments in: accounting; asset/wealth management; business leadership and corporate governance; corporate finance and capital markets; compliance and back office; securities law; securities sales, trading and research. Contact our experts directly, by name or expertise, via our website.

379 Thornal St, 11th Floor, Edison NJ 08837 212.313.6800 | [email protected] | www.tcs.com/bancs Sonal Dash, Marketing Coordinator | [email protected]

Our capital markets solutions cover 100+ countries, with more than 10 MN trades settled and serviced on TCS BaNCS daily and have driven transformation in markets worldwide.

| 13 SOURCES INSURANCE

14 | A RESOURCE DIRECTORY INSURANCE

1633 Broadway, 23rd Floor, New York, NY 10019 | 212.974.0100 150 California Street, San Francisco, CA 94111 | 415.995.8000 www.assuredguaranty.com

Assured Guaranty Ltd. (NYSE:AGO) is the leading guarantor of municipal bonds, infrastructure financings and structured financings. Across over three decades, Assured Guaranty has insured more than $800 billion in original par of municipal bonds, protecting bond investors and saving money for over 15,000 issuers. It guarantees timely payment of principal and interest in accordance with the terms of its insurance policies through three subsidiaries: Assured Guaranty Municipal (AGM), which issues new policies in public and infrastructure finance; Municipal Assurance Corp. (MAC), which insures bonds in select sectors of the U.S. municipal market; and Assured Guaranty Corp. (AGC), a diversified financial guarantor.

| 15 SOURCES LEGAL

1201 West Peachtree St, Atlanta, GA 30309 404.881.7000 | www.alston.com Tod Sawicki, Partner | [email protected] Brett Jaffe, Partner | [email protected] Tim Foley, Counsel | [email protected]

Alston & Bird is a leading national law firm whose core practice areas are intellectual property, complex litigation, corporate, and tax, with focuses that include financial services and health care. The firm has been ranked on Fortune magazine’s “100 Best Companies to Work For” list for 20 consecutive years.

711 Louisiana Street, Suite 2300, Houston, TX 77002 713.223.2300 | www.bracewell.com Paul Maco, Government and Internal Investigations Group 202.828.5800 | [email protected]

Bracewell LLP is an international law firm representing brokers, dealers, and municipal securities dealers, municipal advisors, and state and local governments and their officials in SEC, DOJ and states attorneys general investigations and enforcement matters. Bracewell also advises on regulatory and compliance matters in our broader service for Fortune 500 companies, major financial institutions, leading private investment funds, governmental entities and individuals in public finance, energy, technology and financial services.

325 Columbia Turnpike, Suite 301, Florham Park, NJ 07932 973.514.1200 | www.bressler.com

With one of the nation’s largest concentrations of attorneys dedicated to representing clients in the financial services industry, Bressler is the go-to litigation firm for the financial industry. For nearly 40 years, Bressler Amery & Ross has represented broker-dealers, investment advisers, and financial service firms in arbitration and litigation matters.

16 | A RESOURCE DIRECTORY LEGAL

200 Liberty Street, New York, NY 10281 212.504.6000 | [email protected] | www.cadwalader.com Scott Cammarn, Co-Chair, Financial Services Group 704.348.5363 | [email protected]

At Cadwalader we advise the world’s leading financial institutions, corporations and funds. We counsel clients on statutory and regulatory requirements, including those governing banks and bank holding companies, foreign banking organizations, nonbank finance companies and lenders, broker-dealers, securities and futures exchanges, swap dealers, investment advisers and funds. We advise hedge funds, private equity funds and asset managers on structuring funds and raising capital. We also represent issuers, dealers and end-users on complex derivatives and structured products transactions. We advise a variety of secondary market investors on the regulatory aspects arising in connection with the purchase of consumer and commercial receivables.

Worldwide Plaza, 825 Eighth Avenue, New York, NY 10019 212.474.1000 | [email protected] | www.cravath.com

Leading financial institutions, senior management and boards turn to Cravath for their most challenging and critical litigation, transactions and regulatory compliance matters. We understand our clients’ businesses and use our broad-based litigation and corporate experience to develop practical and creative solutions that meet our clients’ immediate and long-term goals.

701 Brickell Avenue, Suite 3300, Miami, FL 33131 | 305.374.8500 | www.hklaw.com Rebecca Leon, Partner | 305.789.7703 | [email protected]

Holland & Knight advises national and international retail and institutional broker- dealers, banks, fund distributors, investment advisers and fintech companies on a wide range of SEC and FINRA legal and regulatory issues. We have significant experience in structuring clients’ international and cross-border operations in all regions of the world.

| 17 SOURCES LEGAL

200 Park Avenue, New York, NY 10166 212.309.1000 | www.huntonak.com

Hunton Andrews Kurth devises creative solutions to meet the myriad legal challenges facing financial institutions. Uniting transactional, regulatory, cybersecurity and litigation competencies of the firm, our team delivers comprehensive solutions, partnering with them in developing, structuring and executing complex financing transactions and addressing their most serious regulatory risks and litigation challenges.

255 Alhambra Circle, Coral Gables, FL 33134 305.740.1975 | [email protected] | www.leoncosgrove.com Coren H. Stern, Partner | 305.740.1975 | [email protected]

León Cosgrove’s lawyers have handled hundreds of disputes, both customer-initiated and intra-industry, for some of the largest financial institutions in the United States. These cases typically involve allegations regarding suitability, misrepresentation and fraud, unauthorized trading, churning, product failures, failure to supervise, selling away, and variable annuity and mutual fund sales practices.

1345 Avenue of the Americas, New York, NY 10105 212.903.9000 | www.linklaters.com Doug Donahue, Partner | 212.903.9222 | [email protected]

Linklaters is a multinational law firm founded in 1838 with 30 offices in 20 countries and over 2,800 lawyers. Our U.S. qualified lawyers advise on transactional, regulatory, disclosure, compliance, litigation, government investigations and liability management issues globally, tax, antitrust, end criminal and SEC, CFTC and other regulatory enforcement through our lawyers’ relationships with key regulatory agencies.

18 | A RESOURCE DIRECTORY LEGAL

Gateway Plaza; 800 East Canal Street. Richmond, VA 23219 804.775.1000 | www.mcguirewoods.com Sara de Cerff, Business Development Coordinator 804.775.4347 | [email protected]

McGuireWoods is a full-service firm providing legal and public affairs solutions to corporate, individual and nonprofit clients worldwide. Our commitment to excellence in everything we do gives our clients a competitive edge in everything they do.

100 N. Tryon Street, Suite 4700, Charlotte, NC 28202 704.331.1000 | www.mvalaw.com

Moore & Van Allen lawyers fuse an aggressive work ethic to careful and considered legal advice. We provide an innovative approach and experience to sophisticated legal challenges. Our diverse and multifaceted lawyers are nationally recognized and internationally known for corporate, financial services, litigation and regulatory advice and defense practices.

| 19 Moore & Van Allen SOURCES LEGAL

With over 340 lawyers and other professionals, more than 100 of whom regularly serve financial services clients, Moore & Van Allen offers a comprehensive suite of world class legal services with significant value. Our internationally capable White Collar & Investigations Group regularly leads responses to government investigations across North and South America, Europe and Asia. Our Regulatory Advisory Group represents financial services firms in matters central to their relationships with their key regulators, including addressing supervisory criticism, recovery and resolution planning, board governance, CCAR and data privacy. Our trial lawyers litigate cases, including class actions, on a wide array of topics for our financial services clients ranging from lending and securities disputes to claims involving ERISA, employment or intellectual property matters. Across Moore & Van Allen’s platform, we build relationships based on partnership, listening, hard work, value and common sense.

Financial Regulatory Advice & Response Contacts

Edward P. O’Keefe Neil T. Bloomfield Barbara S. Meeks [email protected] [email protected] [email protected]

White Collar Defense, Investigations, and Regulatory Contacts

John A. Fagg, Jr. Valecia M. McDowell James P. McLoughlin, Jr. [email protected] [email protected] [email protected]

Financial Services Litigation Contacts

Mark A. Nebrig Scott M. Tyler Joshua D. Lanning [email protected] [email protected] [email protected]

Financial Services Contacts

C. Wayne McKinzie Thomas L. Mitchell [email protected] [email protected]

Privacy and Data Security Contacts IP Litigation Contacts Karin M. McGinnis Kathryn G. Cole [email protected] [email protected]

Todd C. Taylor J. Mark Wilson [email protected] [email protected]

Bankruptcy/Restructure Contacts Employment Litigation Contacts Zachary H. Smith Paul J. Peralta [email protected] [email protected]

Luis M. Lluberas Benjamin P. Fryer [email protected] [email protected]

mvalaw.com

20 | T 704-331-1000 A RESOURCE DIRECTORY LEGAL

1185 Avenue of the Americas, New York, NY 10036 212.880.3999 | www.mmlawus.com Paul Merolla, Partner | 212.880.3960 | [email protected]

Murphy & McGonigle serves the regulatory, enforcement defense, and litigation needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges. Many of the firm’s partners formerly served in senior positions at the US Department of Justice, SEC, FINRA, CFTC, and the New York State Department of Financial Services, and several served in senior executive positions in major financial institutions on Wall Street. The firm operates in New York, Washington, D.C., and Richmond, VA, and it has been recognized as a National Tier One firm by U.S. News – Best Law Firms.

Because we’ve been there, we offer a different perspective

New York Washington, DC Virginia

www.mmlawus.com

| 21 SOURCES LEGAL

“ a sophisticated specialization in financial services investigations.” *

QuisLex’s work with leading financial institutions

is the basis of our extensive institutional and

industry knowledge and understanding of the

litigation and regulatory issues you face.

*QuisLex Client | Chambers Global

22 |

190121 QuisLex-SIFMA – Ad 6x9".indd 1 1/23/19 7:17 PM A RESOURCE DIRECTORY LEGAL

411 East Wisconsin Avenue, Milwaukee, WI 53202 414.277.5000 | www.quarles.com Jeff Peelen, Attorney | 414.277.5773 | [email protected]

Quarles & Brady LLP is a full-service law firm of 500 lawyers in 10 offices, with a focus on serving as underwriter’s counsel in municipal bond offerings and representing broker- dealers and investment advisory firms in FINRA/SEC and State law securities matters.

200 Liberty Street, New York, NY 10281 917.512.4489 | [email protected] | www.quislex.com Joe Polizzotto, Senior Vice President, Strategy & Client Services 646.793.3411 | [email protected]

QuisLex is an award-winning legal services provider with unmatched experience in the financial services industry having executed over 250 large-scale complex document reviews for financial services clients, supporting litigations and regulatory investigations around the globe. Founded in 2004, QuisLex is recognized as a pioneer in the legal services industry. With more than 1,000 fulltime attorneys, Six Sigma process experts, technologists, statisticians and linguists, QuisLex delivers solutions that enhance quality while reducing cost and mitigating risk. QuisLex’s excellence is recognized by both clients and the legal market, including being a Chambers Global Band 1 LPO since 2010 and a New York Law Journal top managed document review provider since 2014.

787 Seventh Avenue, New York, NY 10019 | 212.839.5300 | www.sidley.com

Sidley’s Securities Enforcement and Regulatory group advises and defends clients in a wide range of securities- and derivatives-related matters. We provide comprehensive regulatory solutions in matters involving the SEC, the CFTC, FINRA, SROs, state attorneys general, state securities regulators as well as international securities regulators.

| 23 SOURCES LEGAL

845 Third Avenue, 20th Fl, New York, NY 10022 212.371.8855 | www.stikeman.com Kenneth G. Ottenbreit, Managing Principal 212.845.7460 | [email protected]

Stikeman Elliott is a major Canadian full-service business law firm that is repeatedly ranked in league tables as the #1 Canadian law firm for U.S. and global M&A transactions. We act for International, U.S. and Canadian issuers, dealers, advisers, banks, and investment funds in connection with cross-border offerings based on our comprehensive experience on the Canadian aspects of cross-border public and private offerings of securities, funds, alternative investment vehicles and other products. Our Financial Services practice includes advising dealers, advisers, funds, banks and corporations on a wide range of Canadian financial services regulatory matters.

Decisive advice. Workable solutions. Stikeman Elliott provides creative Canadian legal services to clients around the world. Our oces are located in Montréal, Toronto, Ottawa, Calgary, Vancouver, New York, London and Sydney.

Canadian Barristers & Solicitors

Stikeman Elliott (NY) LLP 845 Third Ave, 20th Floor New York, New York 10022 stikeman.com 24 | A RESOURCE DIRECTORY LEGAL

180 Maiden Lane New York, NY 10038 212.806.5400 | www.stroock.com John Lo We are a team of transactional, regulatory, and litigation lawyers who work with some of the world’s most prominent organizations, delivering practical, results-oriented guidance and finding the most creative and effective solutions to our clients’ matters. We work with leading financial institutions, multinational corporations, investment funds and entrepreneurs in the U.S. and abroad.

725 Twelfth Street, N.W. Washington, DC 20005 202.434.5000 | www.wc.com Kathryn Poulsen, Business Development & Marketing Manager 202.434.5758 | [email protected]

Williams & Connolly is recognized as one of the world’s premier litigation firms. Our lawyers successfully handle significant civil and criminal matters in courts across the country and forums around the world. We bring a unique blend of talent, tenacity and teamwork to every case we handle in the relentless pursuit of the best possible outcomes for our clients.

1875 Pennsylvania Avenue NW, Washington, DC 20006 202.663.6000 | www.wilmerhale.com Yoon-Young Lee, Partner

WilmerHale is a leading, full-service international law firm with 1,000 lawyers located throughout 13 offices in the United States, Europe and Asia. Our lawyers work at the intersection of government, technology and business, and we remain committed to providing quality, world-class legal and client services.

| 25 SOURCES OTHER – DATA ANALYTICS

Together we deliver a powerful combination of information, analytics, technology and expertise to finance, business, and government leaders around the world.

We call this The New Intelligence Contact us to see how our solutions isolate cause and effect, risk and opportunity in ways that empower you to make well-informed decisions with confidence.

ihsmarkit.com US: +1 212 931 4910 UK: +44 207 260 8000 Asia: +65 6922 4220

IHS Markit makes no warranty, expressed or implied, as to accuracy, completeness or timeliness, or as to the results to be obtained by use of the products and services described herein, and shall not in any way be liable for any inaccuracies, errors or omissions therein. IHS Markit is a registered trademark of IHS Markit Ltd and/ or one of its group companies. All other company and product names may be trademarks of their respective owners © 2016 IHS Markit. All rights reserved.

26 | A RESOURCE DIRECTORY MARKET DATA

Walther von Cronberg Plz 2, Frankfurt, Germany 60594 +49 (0) 69 50986 9017 | [email protected] | www.eurodw.eu Marco Angheben, Director of Business Development | [email protected] European DataWarehouse (ED) is the first and the only centralized data repository in Europe for collecting, validating and distributing detailed, standardized and asset class specific loan-level data for Asset-Backed Securities (ABS) and private whole loan portfolios. ED stores loan-level data and corresponding documentation for investors and other market participants.

25 Ropemaker Street, London EC2Y 9LY, United Kingdom 800.447.2273 | www.ihsmarkit.com IHS Markit is a world leader in critical information, analytics and solutions for the major industries and markets that drive economies worldwide. The company delivers next- generation information, analytics and solutions to customers in business, finance and government, improving their operational efficiency and providing deep insights that lead to well-informed, confident decisions. IHS Markit has more than 50,000 business and government customers, including 80 percent of the Fortune Global 500 and the world’s leading financial institutions. Headquartered in London, IHS Markit is committed to sustainable, profitable growth.

600 Summer St. Ste. 503, Stamford, CT 06901 203.276.6500 | [email protected] | www.lumesis.com Lumesis provides municipal market business and compliance solutions through our DIVER platform. Business solutions include Pricing and Scales, Debt Maps and Obligor Profiles; Compliance solutions include Rule 15c2-12 reasonable diligence, Retail Time of Trade Disclosure and Best Execution. Lumesis also offers bespoke data solutions leveraging our obligor database.

| 27 SOURCES OTHER – FINTECH Years 3 Countries You counted on us for 30 years of… • Driving innovative credit scoring technology • Creating unprecedented consumer access to credit • Enabling a robust credit economy and reduced cost of capital You can count on us to… • Accurately and reliably predict consumer credit risk • Empower investors with leading predictive models • Provide research insights for capital markets and across economic cycles

Empowering robust economies together.

FICO® Scores were solely cited as the credit risk measure in over 98.8% of total dollars in U.S. Securitizations.*

*Mercator Advisory Group Asset Back Securitization Study for credit card and auto loans and leases in 2018. 28 | A RESOURCE DIRECTORY OTHER – DATA ANALYTICS

181 Metro Dr #6, San Jose, CA 95110 408.535.1500 | [email protected] | www.fico.com Joanne Gaskin, Vice President Scores and Analytics 734.879.0989 | [email protected]

FICO powers decisions that help people and businesses around the world prosper. Founded in 1956 and based in Silicon Valley, the company is a pioneer in the use of predictive analytics and data science to improve decisions. FICO holds more than 195 U.S. and foreign patents on technologies that increase profitability, customer satisfaction and growth.

OTHER –FINANCIAL DATA AND NEWS

731 Lexington Avenue, New York, NY 10022 212.318.2000 | www.bloomberg.com

Bloomberg gives influential decision makers a critical edge by connecting them to a global network of information, people and ideas. The company delivers news and analytics via the innovative Bloomberg Terminal. Bloomberg’s enterprise solutions allow customers to access, integrate, distribute and manage data across their organization more efficiently and effectively.

| 29 SOURCES OTHER – NOTICING & CLAIMS AGENT

60 East 42nd Street, Suite 1440, New York, NY 10165 212.257.5449 | [email protected] | www.primeclerk.com

Prime Clerk partners with clients hand-in-hand through every step of their restructurings. No matter the complexity, size, industry or type of restructuring, we offer the industry’s leading suite of technology-driven and consultative services that a client may need before, during, and after its chapter 11 case.

OTHER – TAX RECLAMATION

5 Hanover Square, Suite 2300, New York, NY 10004 | www.goalgroup.com Vicky Dean, COO & VP of Sales & Relationship Management, Americas +44 7747 758870 | [email protected] Joe Connor, Client Services Manager, Americas +44 (0) 208 760 7130 | [email protected]

Since Goal’s establishment, over 30 years ago, Goal has delivered award-winning software and services to the financial community to aid them in withholding tax reclamation, ADRs and securities class actions lawsuits. Providing a global service with a local presence, Goal works with financial institutions, private banks and individuals around the world.

30 | A RESOURCE DIRECTORY PROFESSIONAL SERVICES

120 Broadway, Suite 2720, New York, NY 10271 212.370.7000 | www.sebasearch.com Robert M. Iommazzo, Managing Partner | [email protected] Grant H. Beighley, Director | [email protected]

SEBA International’s Financial Stability practice specializes in the functional areas that allow organizations to mitigate risks and enable growth. These include, but are not limited to, Finance, Risk Management, Compliance/Financial Crime, Analytics, Legal, Audit, and Operations. We focus on the global financial services and technology industries, with offices in New York, London, and San Francisco.

RESEARCH

2 Park Avenue, 24th Floor, New York, NY 10016 212.340.3840 | www.creditsights.com/research Lloyd Ucko, Sales Director | 212.340.3889 | [email protected]

CreditSights empowers nearly 15,000 financial professionals among the world’s largest institutions with the credit-risk tools, independent research and comprehensive market insights they need to make well-informed credit-risk decisions. Setting the standard for global credit research since 2000, we provide timely data, news, recommendations and unbiased analysis of the investment-grade and high-yield debt securities of 1,200 issuers around the world. We deliver this content through innovative platforms, enabling market participants to know more, risk better and ultimately create value.

| 31 SOURCES RISK AND COMPLIANCE

1370 Broadway, 12th Floor, New York, NY 10018 212.951.1030 | [email protected] | www.acacompliancegroup.com Jack Rader, Partner | 212.951.1030 | [email protected] ACA Compliance Group is a leading global provider of governance, risk, and compliance advisory services and technology solutions. We help our clients manage regulatory compliance, cybersecurity and risk, and performance verification through our consulting, outsourcing and technology solutions. Our clients include leading investment advisers, private fund managers, investment companies, broker-dealers, and banks.

acacompliancegroup.com [email protected] Americas | Europe | Asia

Strengthen and streamline risk management across the enterprise with ComplianceAlpha® Keep pace with the regulators’ evolving demands and technological capabilities with ComplianceAlpha. Developed by our team of former regulators, financial technologists, and cybersecurity professionals, ComplianceAlpha includes solutions for: » Employee compliance » Trade surveillance » Cybersecurity and technology risk management » Compliance program management » Marketing and advertising reviews

Let’s talk about how ACA and ComplianceAlpha can support your firm. Visit us at acacompliancegroup.com 32 | A RESOURCE DIRECTORY RISK AND COMPLIANCE

300 Madison Avenue, New York, NY 10017 646.471.3000 | www.pwc.com Christopher Pullano, Partner At PwC, our purpose is to build trust in society and solve important problems. PwC is a network of firms in 157 countries with over 276,000 people who are committed to delivering quality in assurance, advisory and tax services. Find out more and tell us what matters to you by visiting us at www.pwc.com.

94 Bowery, Floor 3, New York, NY 10013 347.941.2523 | [email protected] | www.vigilant.cc Mike Phillips, CEO | 425.765.9661 | [email protected] Vigilant’s Compliance solutions monitor employee political contributions and outside business activities to help firms - from small private funds to large global banks - avoid risk and ensure policy adherence. To ensure compliance around pay-to-play regulations, Vigilant monitors political contribution data from all 50 states, hundreds of cities and counties, and federal data – all updated daily.

| 33 SOURCES RISK AND COMPLIANCE

Transform risk and complexity into advantage

Business strategy is often developed without a full picture of the regulatory landscape, risks and the distinctive capabilities necessary to create advantage.

Our professionals will work with you to explore multiple angles to uncover hidden threats and opportunities in different strategies so you can manage risks and build your distinctive capabilities.

For more information about PwC’s Financial Services Practice, please contact:

Julien Courbe, US Financial Services Advisory Leader (646) 471 4771 [email protected]

www.pwcregulatory.com

© 2020 PwC. All rights reserved. PwC refers to the US member firm or one of its subsidiaries or affiliates, and may sometimes refer to the PwC network. Each member firm is a separate legal entity. 34 | Please see www.pwc.com/structure for further details. This content is for general information purposes only, and should not be used as a substitute for consultation with professional advisors.

687694-2020-SIFMA Conference Sources Guide 2020 Ad.indd 1 1/13/2020 4:51:25 PM A RESOURCE DIRECTORY TECHNOLOGY/SOFTWARE AND SERVICES

410 Terry Avenue North, Seattle, WA 98109 206.266.1000 | https://aws.amazon.com/financial-services

AWS provides financial services institutions across banking, payments, capital markets, and insurance the secure, resilient global cloud infrastructure and services they need to differentiate themselves today and adapt to the needs of tomorrow. AWS meets the most stringent security requirements while delivering the greatest breadth and depth of services, deepest industry expertise, and most expansive partner network. Building on AWS empowers organizations to modernize their infrastructure, meet rapidly changing consumer behaviors and expectations, and drive business growth.

3330 Cumberland Blvd. Suite 500, Atlanta, GA 30339 678.819.1991 | [email protected] | www.basiscode.com Carlos Guillen, President and CEO | [email protected]

BasisCode Compliance is a leading provider of regulatory compliance software solutions dedicated to simplifying the compliance process. Our compliance management software helps manage the risk lifecycle from identification to resolution enhancing compliance controls and decision-making to safeguard your firm and clients. BasisCode offers core compliance, personal trading and insider trading solutions.

| 35 SOURCES TECHNOLOGY/SOFTWARE AND SERVICES

INCREASED REGULATORY SCRUTINY. UNPREDICTABLE TECH COSTS. DISRUPTIVE COMPETITORS. THINNER MARGINS.

The brokerage industry is under more pressure than ever.

FIS’ Securities Processing Suite is the only solution that supports the full trading life cycle with real-time data on a single integrated platform.

Backed by decades of deep industry experience and FIS’ dedication to innovation and strategic partnership, broker-dealers can refocus on their real business – from trading and order management to settlement and asset servicing – while giving their customers actionable access that satisﬁ es their new demands.

It’s time for smarter operations – it’s time to step up to securities success with FIS.

Contact us today to leverage the capabilities of one of the world’s largest ﬁ ntech companies. ﬁ sglobal.com | 1.877.776.3706 36 | A RESOURCE DIRECTORY TECHNOLOGY/SOFTWARE AND SERVICES

4428C Route 27, PO Box 371, Kingston, NJ 08528 800.315.1241 | [email protected] | www.circleblack.com John Michel, CEO

CircleBlack is a financial technology firm focused on solving the key pain points financial advisors experience. CircleBlack’s data hub capabilities empower advisors to see all of their data by aggregating information from custodians, product providers, and clients in one easy-to-use location. CircleBlack provides features including investment performance reporting, portfolio analytics, billing, and client engagement portals. CircleBlack also provides fulsome integrations with technology partners leveraging multi-directional data to and from other applications, including CRM, Risk Analytics, Financial Planning, and Research tools. This allows Independent RIAs and Broker-Dealers to have the technology stack that most appropriately supports their unique business models.

601 Riverside Ave, Jacksonville, FL 32204 877.776.3706 | [email protected] | www.fisglobal.com Vladimir Fookson, Head of Sales, Securities Finance & Processing 781.999.9441 | [email protected]

FIS is a leading provider of technology solutions for merchants, banks and capital markets firms globally. Our 55,000 people are dedicated to advancing the way the world pays, banks and invests by applying our scale, deep expertise and data-driven insights. We help our clients use technology in innovative ways to solve business-critical challenges and deliver superior experiences for their customers. Headquartered in Jacksonville, Florida, FIS is a Fortune 500® company and is a member of Standard & Poor’s 500® Index. To learn more, visit www.fisglobal.com. Follow FIS on Facebook, LinkedIn and Twitter (@FISGlobal).

| 37 SOURCES TECHNOLOGY/SOFTWARE AND SERVICES

400 River’s Edge Drive, 4th Floor, Medford, MA 02155 339.674.1044 | [email protected]

Financial Recovery Technologies (FRT) is a leading technology-based services firm that helps institutional investors identify eligibility, file claims and collect funds made available in securities class action settlements and litigations impacting global investors. Offering the most comprehensive range of services, FRT’s full suite of solutions delivers time-saving tools to monitor every opportunity, robust controls to maximize recoveries, and actionable insight to meet fiduciary responsibilities.

333 Thornall Street, 2nd Floor, Edison, NJ 08837 732.767.5437 | [email protected] | www.fi-tek.com Kevin Fisher, Senior Managing Director | [email protected]

Fi-Tek is a premier financial technology company with industry-leading product solutions catering to the entire lifecycle of Wealth Management and complex Investor Accounting requirements of Hedge Funds & other securities partnerships.

1600 Amphitheatre Parkway, Mountain View, CA 94043 844.613.7589 | https://cloud.google.com/solutions/financial-services

Google Cloud is widely recognized as a global leader in delivering a secure, open, intelligent and transformative enterprise cloud platform. Our technology is built on Google’s private network and is the product of nearly 20 years of innovation in security, network architecture, collaboration, artificial intelligence and open source software. We offer a simply engineered set of tools and unparalleled technology across Google Cloud Platform and G Suite that help bring people, insights and ideas together. Customers across more than 150 countries trust Google Cloud to modernize their computing environment for today’s digital world.

38 | A RESOURCE DIRECTORY TECHNOLOGY/SOFTWARE AND SERVICES

Whatever you’re trying to solve, we want to solve it with you.

g.co/cloud/solving

| 39 SOURCES TECHNOLOGY/SOFTWARE AND SERVICES

600 Harrison St. Suite 120, San Francisco, CA 94107 415.692.6230 | [email protected] | https://hearsaysystems.com

Hearsay Systems is reinventing the client experience in Wealth Management, Insurance and P&C with compliant digital communications and workflow solutions. Over 170,000 advisors and agents at the world’s largest financial services and insurance firms leverage Hearsay to engage with customers and build stronger relationships to grow their business. With Hearsay Cloud for financial services, advisors and agents provide real-time, personalized and seamless client experiences across the right channel - social, texting and mobile - at the right moment. Automated, pre-built industry workflows for insurance and wealth management provide one-click actionable suggestions for targeted engagement.

500 College Rd East, Princeton, NJ 08540 609.951.9800 | [email protected] | www.kinetixtt.com Peter Vitale, Sales Executive | 609.436.0603 | [email protected]

Kinetix is a fintech company that specializes in Trade Management and Compliance Software. This configurable cross-product solution simplifies your technology, workflow and exception management across asset classes. Our software is business domain driven with task-oriented components that offer easy integration and interoperability.

3 Canal Quay, Newry, BT35 6BP N. Ireland +44 (0)28 3025 2242 | [email protected] | www.kx.com

Kx technology, incorporating the kdb+ time-series database, is a leader in high-performance, in-memory computing, streaming analytics and operational intelligence. Kx delivers the best possible performance and flexibility for high-volume, data-intensive analytics and applications across multiple industries.

40 | A RESOURCE DIRECTORY TECHNOLOGY/SOFTWARE AND SERVICES “By enabling our advisors to engage this next generation more effectively via mobile and social media with the level of compliance that our industry demands, it will vastly improve their ability to serve this growing client base.”

KAREN SHAKOSKE, SVP HEAD OF MARKETING & CORPORATE COMMUNICATIONS AT JANNEY MONTGOMERY SCOTT LLC.

| 41 “Hears ay helps me conne ct with my clients across all digi tal chann els!” SOURCES TECHNOLOGY/SOFTWARE AND SERVICES

OUR DATA COMES DOWN TO TWO SIMPLE THINGS. WHAT WE DO WITH IT. AND WHAT YOU ACHIEVE WITH IT.

We are Refinitiv – trusted and relied on by over 400,000 professionals in more than 190 countries. We provide the data, technologies, and expertise our customers and partners need to drive their business forward. With our open platforms, smarter insights & analytics, and powerful workflow tools, financial professionals can make better business decisions and pursue new opportunities with confidence. refinitiv.com

42 | A RESOURCE DIRECTORY TECHNOLOGY/SOFTWARE AND SERVICES

n-Tier fs When your information matters

381 Park Avenue South - Suite 713, New York, NY 10016 646.846.3555 | [email protected] | www.ntierfs.com Jeff Bergson, EVP | [email protected] n-Tier is a regulatory-focused software company that helps firms automate the validation processes required to ensure the accuracy and completeness of their regulatory reporting submissions. We provide clients with a RegOps platform coupled with deep regulatory expertise built-up through years of working on regulatory data validation and remediation programs across different brokerage firms. Used by some of the most well-known firms in the industry, our Compliance Workbench provides clients with a sustainable process focusing on 100% validation and auto-correction of each regulatory report. With unique in-depth experience in reporting requirements such as Blue Sheets, OATS, CAT, LOPR and AML, we provide clients with a flexible solution which centralizes the validation process across regulatory requirements.

3 Times Square, New York, NY 10036 800.427.7570 | www.refinitiv.com Nick Angelis, Manager | 646.223.6182 | [email protected]

Refinitiv, formerly the Financial & Risk business of Thomson Reuters, is one of the world’s largest providers of financial markets data and infrastructure, serving over 40,000 institutions in over 190 countries. With a dynamic combination of data, insights, technology, and Reuters news, our customers can access solutions for every challenge, including a breadth of applications, tools, and content – all supported by human expertise. We’re realizing a brighter future for the industry that defines it. With a partner network that spans the global financial community, our best-in-class data and expert insights transform information into the solutions that move us forward together.

| 43 SOURCES TECHNOLOGY/SOFTWARE AND SERVICES

1 Avenue Adele La Hulpe, Belgium 1310 +32.2.655.31.11 | www.swift.com

SWIFT is a global member owned cooperative and the world’s leading provider of secure financial messaging services. We provide our community with a platform for messaging and standards for communicating, and we offer products and services to facilitate access and integration, identification, analysis and regulatory compliance. SWIFT connects more than 11,000 organisations in more than 200 countries and territories.

184 Liberty Corner Rd, Warren, NJ 07059 800.872.7882 | www.tegra118.com Michelle Trott, Marketing Specialist | 732.439.1729 | [email protected]

Tegra118 is an industry leading provider of software solutions to the wealth and asset management industry. Founded in 1979, Tegra118 is one of few scaled wealth technology platforms providing portfolio management, trading, accounting, rebalancing and reporting for managed accounts. It also provides modular, goals-based financial planning and fee billing software for financial advisors using modern API-based open technology.

Tegra118 is a scalable, secure and stable platform providing mission-critical capabilities to the highest performing wealth and asset management firms. Tegra118’s proven, flexible technology is transforming the way people interact with, manage, and grow their wealth.

44 | A RESOURCE DIRECTORY TECHNOLOGY/SOFTWARE AND SERVICES

1221 Chapala St., Office #6, Santa Barbara, CA 93101 650.242.3900 | www.thetalake.ai | [email protected]

Theta Lake helps organizations more effectively and efficiently add compliance to their increasing video, voice, and collaboration chat communications mix. Theta Lake’s archiving, eDiscovery, supervision and DLP suite for video, audio, and other modern digital communications reduces the cost of compliance by replacing legacy manual and resource-intensive processes. Its patent-pending technology uses AI, deep learning, and seamlessly integrates with leading audio recording, video marketing, video conferencing, and UCaaS platforms to detect compliance risks in what was shown, shared, or said. With an AI-assisted workflow, Theta Lake provides automated risk prioritization and directed review steps to add consistency, efficiency, and scale to the compliance review and supervision process for digital communications.

371 Hoes Lane, Suite 205, Piscataway, NJ 08854 866.608.0381 | [email protected] | www.transcendstreet.com William (BJ) Marcoullier, Head of Sales & Business Development [email protected]

Transcend empowers financial institutions to rethink how they manage data, optimize collateral and access liquidity. Transcend is a leading provider of real-time collateral and liquidity management technology. With a modular, front-to-back office approach, clients harness granular live data from across their enterprise to unlock greater efficiency, optimize returns on capital and seize strategic opportunities.

| 45 SOURCES TECHNOLOGY/SOFTWARE AND SERVICES omplete ollaboration ompliance

Over 85% of Businesses Use 3 or More Collaboration Platforms

“If a firm permits its associated persons to use a particular application—for example, an app-based messaging service or a collaboration platform—the firm must preserve records of business-related communications and supervise the activities and communications of those persons on the application.” Moderni– FINRA,z 2019e vid Reporte ono Examinationand chat Findings c omplianand Observationsce for today’s collaborative workplace AI and NLP automate compliance risk detection within video, voice, chat,Theta documents, Lake uses a acrossrtifical in whattelligen isc shown,e to dete ctshared, risks in spoken,video and andmessage written. Thetacon tLakeent shared integrates in unified with communication collaboration plat platforms,forms like Zoom including:, Webex, and RingCentral. Modernize compliance supervision while meeting MiFID II • Zoom • RingCentral & Glip • Microsoft Teams requirements, protect private data, and comply with Senior Managers • GoToMeeting • Cisco Webex & Teams • Red Box Regime reporting • Vidyard • Wistia • Kaltura • Vbrick • Videolicious • Vimeo • YouTubeLearn ho w we can help • Facebooksolve complian ce and re gulatory • challengesDailyMotion with collaboration platforms at thetalake.com

Request a Demo at thetalake.ai to Learn More

46 | THETALAKE.AI Primers, by SIFMA Insights

The primer series by SIFMA Insights goes beyond a typical 101-level brief, breaking down important technical issues and regulatory nuances to foster a comprehensive understanding of the markets governed by our public policy decisions. The series includes an overview of capital markets and financial institutions, an exploration of the IPO process and listings exchanges, and more.

Read the primers now at www.sifma.org/primers

| 47 New York | Washington www.sifma.org www.projectinvested.com